Noboru Takesaka
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.
Noboru Takesaka, who also goes by Noboru Tak, was a registered financial professional .
Noboru is a previously registered financial professional and started their career in finance in 1999. Noboru had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2010 - November 14, 2023
MCNALLY FINANCIAL SERVICES CORPORATION
October 19, 2007 - September 10, 2010
JHS CAPITAL ADVISORS, LLC
September 23, 2005 - September 10, 2010
JHS CAPITAL ADVISORS, LLC
February 25, 2002 - September 23, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
September 5, 2000 - February 26, 2002
MORGAN STANLEY DW INC.
July 28, 1999 - September 20, 2000
UBS FINANCIAL SERVICES 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
Current Firm
MCNALLY FINANCIAL SERVICES CORPORATION
CRD#: 121196 / SEC#: , 8-65388
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCNALLY, DAVID DORN | CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER | 839798 |
Regulatory assets under management
| Total Number of Accounts | 142 |
| AUM (Assets Under Management) | $ 25,149,615 |
Disclosures
| Regulatory Event | 5 |
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.
