Roger G. Takami
Professional summary
Roger Gordon Takami was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roger is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Roger had worked at 8 firms, which includes VOYA FINANCIAL ADVISORS INC., LPL FINANCIAL LLC, A. G. EDWARDS & SONS INC., EDWARD JONES, CITISTREET EQUITIES LLC, INTEGRATED RESOURCES EQUITY CORPORATION, FSC SECURITIES CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2009 - February 21, 2019
VOYA FINANCIAL ADVISORS, INC.
June 17, 2009 - February 21, 2019
VOYA FINANCIAL ADVISORS, INC.
March 25, 1997 - June 19, 2009
LPL FINANCIAL LLC
March 29, 1996 - June 19, 2009
LPL FINANCIAL LLC
October 21, 1994 - April 2, 1996
A. G. EDWARDS & SONS, INC.
October 6, 1989 - October 3, 1994
EDWARD JONES
January 7, 1988 - October 17, 1989
CITISTREET EQUITIES LLC
October 10, 1986 - February 5, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
June 9, 1986 - October 18, 1986
FSC SECURITIES CORPORATION
December 17, 1985 - April 28, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
