Steven T. Okamoto
Professional summary
Steven Tatsuo Okamoto was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Steven had worked at 5 firms, which includes AMERICAN INVESTORS COMPANY, LOCUST STREET SECURITIES INC., FSC SECURITIES CORPORATION, TRANSAMERICA SECURITIES SALES CORPORATION, TRANSAMERICA FINANCIAL ADVISORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 1998 - July 12, 2002
AMERICAN INVESTORS COMPANY
January 9, 1997 - June 26, 1997
LOCUST STREET SECURITIES, INC.
November 20, 1987 - October 5, 1995
FSC SECURITIES CORPORATION
April 9, 1987 - August 8, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
July 22, 1968 - August 8, 1990
TRANSAMERICA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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 1
Date: 7/15/1968
Registered Representative ExaminationCurrent Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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