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Dale Tadao Mizuno

Transamerica Financial Advisors, Inc.

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About Dale Tadao Mizuno

Dale Tadao Mizuno is an investment advisor representative for Transamerica Financial Advisors, Inc., based in Elk Grove, CA. Dale has been in the securities industry since 1996 and is a licensed investment advisor in California. Before joining Transamerica, Dale worked for Charles Schwab & Co., Inc. Dale offers investment advice and financial planning services to individual clients, corporations, and charitable organizations. Dale also provides insurance products for clients.

Firm Information

Dale Mizuno is currently registered with Transamerica Financial Advisors, Inc.. Transamerica Financial Advisors, Inc. is a registered investment advisor with over 1,100 investment advisor representatives, managing $1 billion to $10 billion in client assets. The firm offers a range of services, including portfolio management for individuals, selection of other advisors, and wrap fee program participation. It has been in business since 1984 and is headquartered in St. Petersburg, FL. The firm serves a diverse clientele, including individuals, high-net-worth individuals, pension plans, corporations, charitable organizations, and other institutions.
Transamerica Financial Advisors, Inc.

570 CARILLON PARKWAY

ST PETERSBURG, FL 33716-1202

$1.62B

Assets Under Management

Not reported

Total Clients

2,487

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Dale Mizuno’s Registration & Firm History

CA

10/31/2018 - Present

Transamerica Financial Advisors, Inc. (ELK GROVE CA)

CA

05/19/1997 - 11/15/2016

CHARLES SCHWAB & CO., INC. (STOCKTON CA)

NY

02/28/1996 - 04/30/1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 02/05/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/18/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/30/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 11/15/2016

SIE - Securities Industry Essentials Examination

BC

Issued 01/08/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Dale Tadao Mizuno. Review regulatory record here.
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