Ernest Y. Fukumoto
Professional summary
Ernest Yoshitsugu Fukumoto was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ernest is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, Ernest had worked at 4 firms, which includes TRANSAMERICA FINANCIAL ADVISORS INC., OSAIC WEALTH INC., INTEGRATED RESOURCES EQUITY CORPORATION, TRANSAMERICA SECURITIES SALES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 1990 - March 19, 2001
TRANSAMERICA FINANCIAL ADVISORS, INC.
November 19, 1989 - March 15, 1990
OSAIC WEALTH, INC.
April 8, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 6, 1987 - August 1, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
March 23, 1973 - April 8, 1987
TRANSAMERICA FINANCIAL ADVISORS, 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 1
Date: 3/19/1973
Registered Representative ExaminationCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, INC.
CRD#: 3600 / SEC#: , 8-13621
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA INTERNATIONAL HOLDINGS, INC. | OWNER | |
| CHUANG, GEORGE CHUWANG | PRESIDENT, DIRECTOR | 3162477 |
| CHUANG, GEORGE CHUWANG | SENIOR VICE PRESIDENT & TREASURER | 3162477 |
| FLEWELLEN, JAMES MARTIN | DIRECTOR | 1574411 |
| GOK, LISA ANNE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 5059738 |
| KILBANE, KENNETH PATRICK | DIRECTOR | 3187382 |
| PERRY, KAREN BARNETT | VICE PRESIDENT | 3035933 |
| RIDER, KERRY KEARNS | SECRETARY | 2166195 |
| TATE, WILLIAM HARTWELL | DIRECTOR | 1761315 |
| TRIVERS, DAN SHANE | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER | 1948553 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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