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WS

Wes M. Sakamoto

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CRD#: 2707896
WS

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.

Wes M Sakamoto, who also goes by Wes Masao Sakamoto, was a registered financial professional .

Wes is a previously registered financial professional and started their career in finance in 1996. Wes had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wes Masao Sakamoto

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

February 6, 2013 - August 1, 2016

NAVY FEDERAL ASSET MANAGEMENT, LLC

RIA
CRD#: 144244
Kapolei, HI
Past

February 6, 2013 - August 1, 2016

NAVY FEDERAL INVESTMENT SERVICES, LLC

BD
CRD#: 138459
KAPOLEI, HI
Past

November 18, 2011 - January 31, 2013

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
HONOLULU, HI
Past

November 18, 2011 - January 31, 2013

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
HONOLULU, HI
Past

October 7, 2010 - November 2, 2011

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
HONOLULU, HI
Past

September 24, 2010 - November 2, 2011

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
HONOLULU, HI
Past

September 4, 2009 - September 29, 2010

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
HONOLULU, HI
Past

September 4, 2009 - September 29, 2010

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
HONOLULU, HI
Past

April 29, 2008 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA
CRD#: 3600
HONOLULU, HI
Past

February 15, 2008 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
HONOLULU, HI
Past

April 15, 1996 - January 31, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
IAR
Series 66
Date: 4/16/2008
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/2/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/2/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/1/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/14/2008
General Securities Representative Examination

Current Firm

NF
NAVY FEDERAL ASSET MANAGEMENT, LLC
DBA - NAVY FEDERAL INVESTMENTS & INSURANCE | NAVY FEDERAL ASSET MANAGEMENT, LLC

CRD#: 144244 / SEC#:

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Contact information

Main Address
820 Follin Lane, Vienna, VA 22180
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

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

NAVY FEDERAL ASSET MANAGEMENT, LLC

CRD#: 144244

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