Matthew K. Tanaka
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.
Matthew Kaneichi Tanaka was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1988. Matthew had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 10, Series 9 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
January 9, 2014 - October 14, 2025
MOSAIC PACIFIC INVESTMENT ADVISORS
May 6, 2003 - April 7, 2010
TD AMERITRADE, INC.
March 19, 2003 - April 7, 2010
TD AMERITRADE, INC.
April 12, 2002 - May 6, 2003
DESTINATION WEALTH MANAGEMENT
March 29, 1988 - September 13, 2000
CHARLES SCHWAB & CO., 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: 8/21/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MOSAIC PACIFIC INVESTMENT ADVISORS
CRD#: 169423 / SEC#: 801-117256
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,604 |
| AUM (Assets Under Management) | $ 433,993,023 |
Red Flags
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