Verne T. Takagi
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.
Verne Takeo Takagi was a registered financial professional .
Verne is a previously registered financial professional and started their career in finance in 1984. Verne had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2017 - August 17, 2021
NWF ADVISORY SERVICES INC
July 11, 2014 - December 23, 2020
OSAIC WEALTH, INC.
May 9, 1997 - December 23, 2020
OSAIC WEALTH, INC.
August 16, 1989 - November 20, 1997
TRANSAMERICA FINANCIAL ADVISORS, INC.
November 10, 1987 - July 31, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
December 2, 1986 - August 15, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 26, 1984 - December 4, 1986
TRANSAMERICA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
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
Current Firm
NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
Contact information
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,979 |
| AUM (Assets Under Management) | $ 3,824,876,751 |
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.
