AO
Akira Ogasawara
TRANSAMERICA FINANCIAL ADVISORS
Torrance, CA 90501
Some features on this profile are disabled
CRD#: 7404025
AO
Professional summary
Akira Ogasawara is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Torrance, California.
Akira is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Akira has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc KAMOTTY FINANCIAL SERVICES, LLC POSITION: Managing member NATURE: Exclusively doing my financial related busienss under this company. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 10/20/2023 ADDRESS: 545 W Sunset Rd, Apt 3, Henderson NV 89011, United States DESCRIPTION: all of the financial activities will not change. All activities will be done under my personal name. However, the company was created for the tax purpose. Q CONSULTING PARTNER POSITION: agent NATURE: company formation & registration INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2024 ADDRESS: 2 Mid America Plaza, Suite 110, Oakbrook Terrace IL 60181, United States DESCRIPTION: In case my clients want to form other companies and register it anywhere in the US, this Q Consulting partner will help me some consultation and register companies. VISA TO AMERICA, INC. POSITION: Independent contractor NATURE: Agency for acquiring visas for foreign people INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2024 ADDRESS: 601 Pennsylvania Ave.,, Suite 900, Washington DC 20004, United States DESCRIPTION: My daily responsibilities are in the followings;1) Referring my friends, companies I know in Japan or in the US to Visa to AmericaWhen they need the right visas to USA - referral2) Setting up the communication tools between Visa to America and Visa to America Japan office by providing Visa to America with Japanese translated website articles- Japanese translation help until Japan office hires a clerical staff.3) For my future clients for corporations or individuals in the USA, I will approach to them with a various subjects which is including visa acquiring. As long as I can approach them, which may lead to my own business for consulting their employees' benefits - my major purpose of this referrals. You may call sales for Visa to America as well as my TFA business. VANITY FAIR MEDIA, INC. DBA FUNDING SUITE POSITION: referral contractor NATURE: SBA and other business loan specialist INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/10/2025 ADDRESS: 1055 E Colorado Blvd, 5th Floor, Pasadena CA 91106, United States DESCRIPTION: My primary responsibility in this Outside Business Activity is to introduce the firm to my existing and prospective clients who may have a need for business loans. In doing so, I serve as a point of connection, helping clients gain access to appropriate financing solutions. In addition, I focus on strengthening and expanding my relationships with both current and future clients by taking a tailored approach to their evolving needs, with the goal of supporting their long-term business growth and development.
CRS (Client Relationship Summary) - RIA
Click below to view Akira Ogasawara's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Akira Ogasawara'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
July 7, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21221 S Western Ave Suite 110, Torrance, CA 90501RIA
BD
CRD#: 16164
Torrance, CA
Current
July 14, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21221 S Western Ave Suite 110, Torrance, CA 90501RIA
BD
CRD#: 16164
Torrance, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(8/16/2021)
IAR
California(7/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/13/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
