Ronald K. Sakai
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald Keith Sakai, CFA was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1984. Ronald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 87, Series 7, Series 6, Series 9, Series 10, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2010 - October 5, 2011
AVANTAX INVESTMENT SERVICES, INC.
March 20, 2007 - November 22, 2016
FIRST CLEARING, LLC
September 16, 2004 - April 6, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 25, 2002 - April 6, 2022
WELLS FARGO CLEARING SERVICES, LLC
November 16, 1999 - April 6, 2022
WELLS FARGO CLEARING SERVICES, LLC
March 20, 1998 - November 30, 1999
REGAL SECURITIES, INC.
November 12, 1993 - February 20, 1998
FLEET BROKERAGE SECURITIES, INC.
May 14, 1990 - October 22, 1993
BNY MELLON SECURITIES CORPORATION
November 14, 1988 - November 27, 1989
J. ZANER & COMPANY
July 20, 1986 - November 2, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
May 2, 1984 - August 20, 1986
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/20/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
