Carol L. Takano
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.
Carol Lynn Takano was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1993. Carol had worked at 13 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, Series 7TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2016 - April 15, 2021
KESTRA ADVISORY SERVICES, LLC
January 6, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
October 17, 2014 - April 15, 2021
KESTRA INVESTMENT SERVICES, LLC
July 14, 2010 - April 23, 2014
WFG INVESTMENTS, INC.
September 26, 2007 - November 30, 2009
1ST GLOBAL CAPITAL CORP.
April 3, 2007 - May 15, 2007
OPPENHEIMER & CO. INC.
September 21, 2006 - February 13, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 2, 2000 - February 22, 2005
UBS FINANCIAL SERVICES INC.
November 2, 2000 - February 22, 2005
UBS FINANCIAL SERVICES INC.
September 6, 2000 - September 29, 2000
RBC CAPITAL MARKETS, LLC
February 4, 2000 - September 7, 2000
CITIGROUP GLOBAL MARKETS INC.
September 30, 1997 - March 30, 1999
GOLDMAN SACHS & CO. LLC
August 3, 1995 - December 31, 1995
FIMCO SECURITIES GROUP, INC.
January 1, 1995 - July 21, 1997
COMERICA SECURITIES
June 28, 1993 - January 1, 1995
COMERICA FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 11/20/2022
General Securities Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
