Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tom? Claim Your ProfileTom Toshiyuki Teraoka is a financial advisor with over 25 years of experience in the industry. Tom is currently registered with Avantax Advisory Services and holds Series 6, 7, and 66 licenses as well as the SIE exam. Tom previously worked with 1ST GLOBAL CAPITAL CORP. and PROFESSIONAL SECURITIES & ADVISORY SERVICES, LLC. Tom is a CPA and provides financial services to clients through Teraoka Wealth Management, LLC.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
CA
10/25/2019 - Present
Avantax Advisory Services (HUNTINGTON BEACH CA)
CA
11/12/2003 - 10/25/2019
1ST GLOBAL CAPITAL CORP. (HUNTINGTON BEACH CA)
FL
10/01/2003 - 11/12/2003
PROFESSIONAL SECURITIES & ADVISORY SERVICES, LLC (ORLANDO FL)
TX
10/04/1996 - 09/08/2003
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
BOTH
Issued 11/06/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/18/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2004
Series 7 - General Securities Representative Examination
BC
Issued 09/16/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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