AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
BS

Braxton D. Sato

TFA SECURITIES
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 6882521
BS

Professional summary

Braxton Duke Sato is a registered financial professional currently at TFA SECURITIES, INC. located in El Segundo, California.

Braxton is registered as a RR (Registered Representative) and started their career in finance in 2018. Braxton has worked at 1 firm and has passed the Series 63, Series 79 and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Braxton Duke Sato'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®
None

Experience

Current

November 21, 2018 - Present

TFA SECURITIES, INC.

Office #1: 201 Continental Blvd., Suite 110, El Segundo, CA 90245Office #2: 201 Continental Blvd., Suite 110, El Segundo, CA 90245
BD
CRD#: 284982
El Segundo, 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
California
(11/21/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 3/13/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79
Date: 3/12/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/12/2018
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TFA SECURITIES, INC.
TFA SECURITIES, INC.

CRD#: 284982 / SEC#: , 8-69822

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
201 Continental Blvd., Suite 110, El Segundo, CA 90245
Mailing Address
201 Continental Blvd., Suite 110, El Segundo, CA 90245
Phone number
(310) 341-2332
Established
California since 04/30/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TFA CAPITAL PARTNERS, INC.SHAREHOLDER
HOWARD, MARSHALL DAVIDPRESIDENT, CCO4397729
JACKSON, KRISTIN KLUBNIKCHAIRMAN OF THE BOARD4384346

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.

Company Information

TFA SECURITIES, INC.

CRD#: 284982El Segundo, CA 90245

TRUST BUT VERIFY

Monitor Braxton Sato

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Jon Derek Neuhaus
Jon NeuhausAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
El Segundo, CA
Kenneth Hickman
Kenneth HickmanAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brea, CA
John Tanner Powell
John PowellAdvisorCheck Check Mark
EQUITABLE ADVISORS, LLC
IAR
RR
Los Angeles, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics