ST
Seth Takata
ARES MANAGEMENT CAPITAL MARKETS LLC
LOS ANGELES, CA 90067
Some features on this profile are disabled
CRD#: 6861265
ST
Professional summary
Seth Takata is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in Los Angeles, California.
Seth is registered as a RR (Registered Representative) and started their career in finance in 2017. Seth has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Seth Takata'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®
NoneExperience
Current
October 25, 2023 - Present
ARES MANAGEMENT CAPITAL MARKETS LLC
Office #1: 1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067BD
CRD#: 166219
LOS ANGELES, CA
Past
November 28, 2017 - October 9, 2023
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(10/25/2023)
RR
Alaska(10/25/2023)
RR
Arizona(10/25/2023)
RR
Arkansas(10/25/2023)
RR
California(10/25/2023)
RR
Colorado(10/25/2023)
RR
Connecticut(10/25/2023)
RR
Delaware(10/25/2023)
RR
District of Columbia(10/25/2023)
RR
Florida(10/25/2023)
RR
Georgia(10/25/2023)
RR
Hawaii(10/25/2023)
RR
Idaho(10/25/2023)
RR
Illinois(10/25/2023)
RR
Indiana(10/25/2023)
RR
Iowa(10/25/2023)
RR
Kansas(10/25/2023)
RR
Kentucky(10/25/2023)
RR
Louisiana(10/25/2023)
RR
Maine(10/25/2023)
RR
Maryland(10/25/2023)
RR
Massachusetts(10/25/2023)
RR
Michigan(10/25/2023)
RR
Minnesota(10/25/2023)
RR
Mississippi(10/25/2023)
RR
Missouri(10/25/2023)
RR
Montana(10/25/2023)
RR
Nebraska(10/25/2023)
RR
Nevada(10/25/2023)
RR
New Hampshire(10/25/2023)
RR
New Jersey(10/25/2023)
RR
New Mexico(10/25/2023)
RR
New York(10/25/2023)
RR
North Carolina(10/25/2023)
RR
North Dakota(10/25/2023)
RR
Ohio(10/25/2023)
RR
Oklahoma(10/25/2023)
RR
Oregon(10/25/2023)
RR
Pennsylvania(10/25/2023)
RR
Rhode Island(10/25/2023)
RR
South Carolina(10/25/2023)
RR
South Dakota(10/25/2023)
RR
Tennessee(10/25/2023)
RR
Texas(10/25/2023)
RR
Utah(10/25/2023)
RR
Vermont(10/25/2023)
RR
Virginia(10/25/2023)
RR
Washington(10/25/2023)
RR
West Virginia(10/25/2023)
RR
Wisconsin(10/25/2023)
RR
Wyoming(10/25/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Mailing Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Phone number
(310) 432-8708
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
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.
