Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Takemura is a financial advisor at RBC Capital Markets, LLC. Stephen has been in the industry for 39 years, having started his career in 1983. Stephen is registered with the state of Washington as an investment advisor representative and holds several securities licenses. Stephen has worked at several firms over the years, including DAIN RAUSCHER INCORPORATED, PRUDENTIAL SECURITIES INCORPORATED, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and KO SECURITIES, INC.. He is also a registered representative with FINRA. Stephen has a broad range of experience in the financial services industry. Stephen provides financial planning and portfolio management services to individuals, families, businesses, and institutions. He specializes in serving high-net-worth individuals, trusts, estates, and retirement plans.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
WA
02/25/1997 - Present
RBC Capital Markets, LLC (SEATTLE WA)
NA
01/31/1997 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NY
04/25/1986 - 02/04/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
05/15/1984 - 05/06/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
09/23/1983 - 04/16/1984
KO SECURITIES, INC.
IA
Issued 07/12/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1988
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/1988
Series 15 - Foreign Currency Options Examination
BC
Issued 07/03/1984
Series 5 - Interest Rate Options Examination
BC
Issued 09/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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