Osamu Tagaya

Some features on this profile are disabled

CRD#: 873265

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Osamu Tagaya, who also goes by Sam Tagaya, was a registered financial professional .

Osamu is a previously registered financial professional and started their career in finance in 1979. Osamu had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sam Tagaya

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

January 10, 2019 - May 13, 2021

ALEXANDER BEARD (USA) INC.

RIA

CRD#: 134642

SAN MATEO, CA

Past

June 8, 2017 - December 31, 2018

ALEXANDER BEARD (USA) INC.

RIA

CRD#: 134642

San Mateo, CA

Past

October 17, 2013 - September 29, 2014

ACN SECURITIES INC.

CRD#: 37645

NEW YORK, NY

Past

April 22, 2013 - September 13, 2013

NEW ENGLAND SECURITIES

CRD#: 615

FOSTER CITY, CA

Past

May 9, 2011 - April 9, 2013

PRUCO SECURITIES, LLC.

CRD#: 5685

SAN FRANCISCO, CA

Past

March 1, 2005 - April 21, 2011

ACN SECURITIES INC.

CRD#: 37645

PALO ALTO, CA

Past

May 19, 1998 - May 25, 1999

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

October 4, 1994 - December 12, 1997

SALOMON BROTHERS INC.

CRD#: 740

Past

October 26, 1979 - December 12, 1997

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

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".

ALEXANDER BEARD (USA) INC.

ALEXANDER BEARD (USA) INC. | ALEXANDER BEARD (USA), LLC | ALEXANDER BEARD (USA), INC.

CRD#: 134642 / SEC#: 801-120225

RIA

Registered Investment Advisory firm - (2/19/2021 Approved)

California

Registered Investment Advisory firm - (6/30/2021 Terminated)

Florida

Registered Investment Advisory firm - (4/5/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/5/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - (4/5/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/8/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/3/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/16/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2004

General Securities Principal Examination

Current Firm

ALEXANDER BEARD (USA) INC.

ALEXANDER BEARD (USA) INC. | ALEXANDER BEARD (USA), LLC | ALEXANDER BEARD (USA), INC.

CRD#: 134642 / SEC#: 801-120225

RIA

Registered Investment Advisory firm - (2/19/2021 Approved)

California

Registered Investment Advisory firm - (6/30/2021 Terminated)

Florida

Registered Investment Advisory firm - (4/5/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/5/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - (4/5/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2021 Terminated)

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

14-15 Rossmore Business Village Inward Way, Ellesmere Port, Cheshire, CH65 3EY

Mailing Address

1670 South Amphlett Blvd Suite 214-49, San Mateo, CA 94402

Phone number

(650) 684-0450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALEXANDER BEARD (USA), LLC - ADV PART 2A (2021) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	75
AUM (Assets Under Management)	$ 39,917,826

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Osamu Tagaya

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALEXANDER BEARD (USA) INC.

ACN SECURITIES INC.

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

ACN SECURITIES INC.

PERSHING LLC

SALOMON BROTHERS INC.

SALOMON BROTHERS INC.

Primary Firm SEC Registration

ALEXANDER BEARD (USA) INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2017

Series 63

Date: 10/3/2003

Series 7

Date: 9/16/2003

Series 24

Date: 12/16/2004

Current Firm

ALEXANDER BEARD (USA) INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALEXANDER BEARD (USA) INC.

TRUST BUT VERIFY

Similar Advisors