Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Tanaka is a financial professional with over 40 years of experience in the financial services industry. Richard is currently registered with First Southern, LLC and holds Series 3, 7, 52 and 63 licenses as well as the SIE exam. Richard has also passed the Uniform Investment Adviser Law Examination (Series 65). Prior to joining First Southern, LLC, Richard worked at First Southern Securities, LLC., Sequoia Investments, Inc., Clearview Correspondent Services, LLC, Scott & Stringfellow, LLC, Bergen Capital, Inc., Tejas Securities Group, Inc., Auerbach, Pollak & Richardson Inc., Southwick Investments, Inc., J.C. Bradford & Co., Prudential Securities Incorporated, Wheat, First Securities, Inc., Lehman Brothers Inc., Swink & Company, Inc. and First Citizens Municipal Corporation. Richard is a valuable asset to any firm, and his expertise is sure to benefit his clients.
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.
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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GA
01/22/2020 - Present
First Southern, LLC (Alpharetta GA)
GA
03/21/2014 - 10/05/2020
FIRST SOUTHERN SECURITIES, LLC. (ALPHARETTA GA)
GA
01/03/2013 - 04/02/2014
SEQUOIA INVESTMENTS, INC. (ROSWELL GA)
VA
11/26/2012 - 01/08/2013
CLEARVIEW CORRESPONDENT SERVICES, LLC (RICHMOND VA)
GA
01/05/2006 - 01/08/2013
SCOTT & STRINGFELLOW, LLC (ALPHARETTA GA)
NJ
09/18/2002 - 01/13/2006
BERGEN CAPITAL, INC. (HASBROUCK HEIGHTS NJ)
TX
07/18/2001 - 09/18/2002
TEJAS SECURITIES GROUP, INC. (AUSTIN TX)
CT
02/28/2001 - 07/31/2001
AUERBACH, POLLAK & RICHARDSON INC. (STAMFORD CT)
TX
07/25/1999 - 01/30/2001
TEJAS SECURITIES GROUP, INC. (AUSTIN TX)
GA
09/25/1996 - 06/25/1999
SOUTHWICK INVESTMENTS, INC. (ATLANTA GA)
NY
07/22/1993 - 09/23/1996
J.C. BRADFORD & CO. (NEW YORK NY)
NY
05/14/1991 - 07/20/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NC
08/06/1990 - 05/02/1991
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NY
08/18/1982 - 08/21/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/18/1980 - 08/03/1982
SWINK & COMPANY, INC.
NA
01/04/1979 - 10/25/1980
FIRST CITIZENS MUNICIPAL CORPORATION
IA
Issued 11/16/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/17/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/1982
Series 3 - National Commodity Futures Examination
BC
Issued 04/24/1980
Series 7 - General Securities Representative Examination
BC
Issued 01/10/1979
Series 52 - Municipal Securities Representative Examination
Active
Inactive
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