Richard T. Tanaka
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.
Richard Thomas Tanaka, who also goes by Rick Tanaka, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2020 - December 11, 2024
FIRST SOUTHERN, LLC
March 21, 2014 - October 5, 2020
FIRST SOUTHERN SECURITIES, LLC.
January 3, 2013 - April 2, 2014
SEQUOIA INVESTMENTS, INC.
November 26, 2012 - January 8, 2013
BB&T SECURITIES, LLC
January 5, 2006 - January 8, 2013
SCOTT & STRINGFELLOW, LLC
September 18, 2002 - January 13, 2006
BERGEN CAPITAL, INC.
July 18, 2001 - September 18, 2002
TEJAS SECURITIES GROUP, INC.
February 28, 2001 - July 31, 2001
AUERBACH, POLLAK & RICHARDSON INC.
July 25, 1999 - January 30, 2001
TEJAS SECURITIES GROUP, INC.
September 25, 1996 - June 25, 1999
SOUTHWICK INVESTMENTS, INC.
July 22, 1993 - September 23, 1996
J.C. BRADFORD & CO.
May 14, 1991 - July 20, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 6, 1990 - May 2, 1991
FIRST UNION CAPITAL MARKETS CORP.
August 18, 1982 - August 21, 1990
LEHMAN BROTHERS INC.
September 18, 1980 - August 3, 1982
SWINK & COMPANY, INC.
January 4, 1979 - October 25, 1980
FIRST CITIZENS MUNICIPAL CORPORATION
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
FIRST SOUTHERN, LLC
CRD#: 282756 / SEC#: , 8-69733
Contact information
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENT, INC. | SHAREHOLDER | |
| HEEHAW INC. | SHAREHOLDER | |
| VSPR, INC. | SHAREHOLDER | |
| PAGAN MARXUACH, RAFAEL ANTONIO | OWNER | 2863850 |
| HAWK, WILLIAM HEATH | PRESIDENT/CEO/MANAGING MEMBER | 2494928 |
| JACKELS, STEPHANIE KANE | FINOP/PFO | 5928877 |
| JONES, SHARON DOSTER | CHIEF COMPLIANCE OFFICER | 3124470 |
| SFYRIS, VASILEIOS ALEXIOS | MANAGING MEMBER/POO | 4026992 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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