Marc S. Kawakami
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.
Marc S Kawakami, who also goes by Marc Shigeo Kawakami, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1996. Marc had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 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
June 3, 2015 - April 17, 2019
TRANSAMERICA CAPITAL, LLC
May 11, 2009 - September 26, 2012
CETERA WEALTH SERVICES, LLC
March 9, 2007 - June 5, 2007
CETERA WEALTH SERVICES, LLC
November 25, 2002 - December 31, 2003
VESTAX SECURITIES CORPORATION
November 25, 2002 - December 31, 2003
LOCUST STREET SECURITIES, INC.
November 25, 2002 - December 31, 2003
IFG NETWORK SECURITIES, INC.
November 25, 2002 - June 5, 2007
CETERA ADVISORS LLC
November 25, 2002 - June 5, 2007
VOYA FINANCIAL ADVISORS, INC.
March 21, 1996 - June 5, 2007
CETERA WEALTH SERVICES, LLC
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
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CARNEY, ROBERT DONALD | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 6747924 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 3 |
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.
