Archie TanakaCRD Number: 2018396
Current Firm: Ameriprise Financial Services, Inc.
Archie Tanaka (CRD# 2018396) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in South Jordan, UT and has over 27 years of experience in the finance industry.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Ameriprise Financial Services Inc.||South Jordan, UT||Jul 1999 - Current||17|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1990|
|S65||NASAA Investment Advisors Law Examination||Oct 1996|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management178,060MILLIONS
Total Number of Accounts1,085,445ACCOUNTS
Average Account Value$164,044
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV