Ronald I. Taniguchi
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 Ichiro Taniguchi, who also goes by Ronald Taniguchi, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1986. Ronald had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
August 4, 2014 - September 21, 2019
TD AMERITRADE, INC.
August 4, 2014 - September 21, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 4, 2014 - September 21, 2019
TD AMERITRADE, INC.
January 13, 2014 - July 21, 2014
A.G.P. / ALLIANCE GLOBAL PARTNERS
January 10, 2014 - July 21, 2014
A.G.P. / ALLIANCE GLOBAL PARTNERS
June 16, 2010 - August 28, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
June 16, 2010 - August 28, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
January 7, 2010 - June 17, 2010
FORESTERS EQUITY SERVICES, INC.
November 30, 2009 - June 17, 2010
FORESTERS EQUITY SERVICES, INC.
December 2, 2008 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 15, 2008 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 26, 2000 - January 29, 2008
CITIGROUP GLOBAL MARKETS INC.
June 16, 2000 - January 29, 2008
CITIGROUP GLOBAL MARKETS INC.
April 23, 1986 - June 26, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 12/15/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
