Takashi Mori
Professional summary
Takashi Mori is a registered financial professional currently at AMERICAN CAPITAL PARTNERS, LLC located in New York, New York.
Takashi is registered as a RR (Registered Representative) and started their career in finance in 1992. Takashi has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 16, Series 7, Series 10, Series 9, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Takashi Mori's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2009 - Present
AMERICAN CAPITAL PARTNERS, LLC
Office #1: 14 Penn Plaza 225 West 34th Street 10th Floor, Suite 1004, New York, NY 10122October 23, 2002 - August 20, 2009
MAXIM GROUP LLC
April 12, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
February 12, 1999 - March 28, 2001
TRADE.COM ONLINE SECURITIES, INC.
February 5, 1992 - September 21, 1998
DAIWA CAPITAL MARKETS AMERICA 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
(8/7/2009)
(8/7/2009)
(8/7/2009)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 4/20/1992
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Nasdaq Stock Market
Current Firm
AMERICAN CAPITAL PARTNERS, LLC
CRD#: 119249 / SEC#: , 8-65165
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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