Braxton Duke Sato
Professional Summary
Braxton Duke Sato is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
8 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
TFA SECURITIES, INC.
Contact Information
Main Address
201 Continental Blvd., Suite 110, El Segundo, CA 90245Mailing Address
201 Continental Blvd., Suite 110, El Segundo, CA 90245Phone Number
(310) 341-2332Established
California since 04/30/2009Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(11/21/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Mar 2018About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Braxton Duke Sato's CRS (Customer Relationship Summary).
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