RT
Randall T. Takaki
LPL ENTERPRISE
LONG BEACH, CA 90807
Some features on this profile are disabled
CRD#: 4920750
RT
Professional summary
Randall Takeshi Takaki, CFP®, who also goes by Randall T Takaki, Randy Takaki, Randall Takaki, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Long Beach, California.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Randall has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randall T Takaki | Randy Takaki | Randall Takaki
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.
FARENH, LLC POSITION: Founder NATURE: Retail Sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2021 ADDRESS: 21151 S. Western Ave #157, Torrance CA 90501, United States DESCRIPTION: Sourcing products to sell and listing them. TAKWEALTH FINANCIAL AND INSURANCE SERVICES POSITION: Founder NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/03/2022 ADDRESS: 21151 S. Western Ave. #157, Torrance CA 90501, United States DESCRIPTION: Sales and Service of Insurance and Investments
CRS (Client Relationship Summary) - RIA
Click below to view Randall Takeshi Takaki's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randall Takeshi Takaki's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2011
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 3711 Long Beach Blvd. Suite 802, Long Beach, CA 90807RIA
BD
CRD#: 8733
LONG BEACH, CA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 3711 Long Beach Blvd. Suite 802, Long Beach, CA 90807RIA
BD
CRD#: 8733
LONG BEACH, CA
Past
September 6, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Torrance, CA
Past
August 30, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Torrance, CA
Past
July 7, 2022 - July 29, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Torrance, CA
Past
August 9, 2016 - October 26, 2022
TAKWEALTH
RIA
CRD#: 284316
TORRANCE, CA
Past
January 17, 2013 - August 16, 2016
THE CLARK GROUP ASSET MANAGEMENT
RIA
CRD#: 164405
SHERMAN OAKS, CA
Past
October 29, 2012 - December 31, 2013
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
SHERMAN OAKS, CA
Past
March 17, 2006 - October 31, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
SHERMAN OAKS, CA
Past
March 17, 2006 - October 31, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
SHERMAN OAKS, CA
Past
March 22, 2005 - February 23, 2006
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/14/2024)
IAR
Arizona(11/14/2024)
RR
California(11/14/2024)
IAR
California(11/14/2024)
RR
Florida(10/27/2025)
RR
Georgia(9/19/2025)
RR
Hawaii(11/14/2024)
IAR
Hawaii(11/14/2024)
RR
Idaho(11/14/2024)
IAR
Idaho(11/14/2024)
RR
Montana(11/14/2024)
RR
Nevada(10/27/2025)
RR
New Jersey(1/30/2025)
RR
New Mexico(5/14/2025)
RR
North Carolina(5/15/2025)
RR
Oregon(10/29/2025)
RR
Pennsylvania(11/14/2024)
IAR
Pennsylvania(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Utah(11/14/2024)
IAR
Utah(11/14/2024)
RR
Washington(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/29/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
