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Hajime Sagawa

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CRD#: 722982
HS

Professional summary

Hajime Sagawa was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Hajime is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Hajime had worked at 4 firms, which includes AXES AMERICA LLC, UBS FINANCIAL SERVICES INC., SANYO SECURITIES AMERICA INC., NOMURA SECURITIES INTERNATIONAL INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 28, 1998 - May 5, 2008

AXES AMERICA LLC

BD
CRD#: 42843
NEW YORK, NY
Past

December 4, 1991 - August 9, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

August 22, 1991 - November 8, 1991

SANYO SECURITIES AMERICA INC.

BD
CRD#: 7385
NEW YORK, NY
Past

January 19, 1981 - April 20, 1983

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/19/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/23/1991
General Securities Principal Examination

Current Firm

AA
AXES AMERICA LLC
AXES AMERICA LLC

CRD#: 42843 / SEC#: , 8-50037

BD
Terminated by SEC on 05/04/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/13/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SAGAWA AND CO.OWNER
SAGAWA, HAJIMEPRESIDENT, CEO, DIRECTOR722982
ICHIMURA, TAKUYAFINANCIAL AND OPERATIONS PRINCIPAL, CFO
KISHIDA, MAKIKOCOMPLIANCE OFFICER4447952

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

AXES AMERICA LLC

CRD#: 42843

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