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Ronald Akira Tanaka

LPl Financial LLC

South Pasadena, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-06-17
CA RA APPROVED 2020-06-02
  • TX RA
    APPROVED_RES
    Since 2020-06-17
  • CA RA
    APPROVED
    Since 2020-06-02

Branch Locations

1119 Fremont Ave, South Pasadena, CA 91030 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Self Employed Pasadena CA 10/1982 05/2020
Hagerty Stewart & Associates, Llc La Jolla CA 12/2003 06/2020
Independent Financial Group Inc La Jolla CA 12/2003 06/2020
Lpl Financial Pasadena CA 06/2020 Present
  • 10/1982 → 05/2020
    Self Employed
    Pasadena, CA
  • 12/2003 → 06/2020
    Hagerty Stewart & Associates, Llc
    La Jolla, CA
  • 12/2003 → 06/2020
    Independent Financial Group Inc
    La Jolla, CA
  • 06/2020 → Present
    Lpl Financial
    Pasadena, CA
Previous Registrations
  • 2005-10-21 → 2020-06-02
    Independent Financial Group, Llc
    South Pasadena, CA
    S Pasadena, CA
  • 2003-12-10 → 2005-10-21
    Independent Financial Group, Llc
    South Pasadena, CA
  • 2001-05-07 → 2003-12-16
    Sentra Securities Corporation
    South Pasadena, CA
Other Businesses

1) 1/1982 - Non-Variable Insurance - Ronald Tanaka - Investment Related - South Pasadena, CA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-20
S63 Uniform Securities Agent State Law Examination 1990-03-09
  • S65 Uniform Investment Adviser Law Examination
    1999-05-20
  • S63 Uniform Securities Agent State Law Examination
    1990-03-09
Designations
Other Names
  • Ronald A Tanaka

View on SEC IAPD

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NAREK TAGMIZYAN
JON CHRISTOPHER LAM

Other Offices

OSAIC WEALTH, INC. · SOUTH PASADENA, CA
LPL FINANCIAL LLC · SOUTH PASADENA, CA
GREENLAKE ASSET MANAGEMENT LLC · SOUTH PASADENA, CA
WELLS FARGO CLEARING SERVICES, LLC · SOUTH PASADENA, CA
NEWBURY CAPITAL MANAGEMENT, LLC · SOUTH PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SOUTH PASADENA, CA
J.P. MORGAN SECURITIES LLC · SOUTH PASADENA, CA
COPPELL ADVISORY SOLUTIONS LLC · South Pasadena, CA

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