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TH

Takashi Hashimoto

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CRD#: 2321357
TH

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.

Takashi Hashimoto was a registered financial professional .

Takashi is a previously registered financial professional and started their career in finance in 2013. Takashi had worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 25, 2013 - October 20, 2014

MONITOR CAPITAL LLC

BD
CRD#: 146087
RESEDA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/11/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/20/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/25/2013
Investment Banking Registered Representative Examination

Current Firm

MC
MONITOR CAPITAL LLC
MONITOR CAPITAL (SUCCESSOR) LLC | MONITOR CAPITAL, LLC | MONITOR CAPITAL LLC

CRD#: 146087 / SEC#: , 8-67782

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
7322 Claire Avenue, Carmel, NY 10512
Mailing Address
7322 Claire Avenue, Reseda, CA 91335
Phone number
(917) 450-6773
Established
California since 03/05/2024
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TAKUSHIMA, SAKAECHIEF COMPLIANCE OFFICER/CEO4617001
FOX, VALERIE WITOSHKINFINOP/CHIEF FINANCIAL OFFICER/CHIEF OPERATIONS OFFICER6695210

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.

Company Information

MONITOR CAPITAL LLC

CRD#: 146087

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