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Detailed Report
STEVEN SAKATA
STEVEN LOY SAKATA
CRD#: 2922724
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 7545 IRVINE CENTER DR
SUITE 200 UNIT 12
IRVINE , CA 92618
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2009 (7 years)2 FIRMS2009 - 2016 (7 years)2 FIRMS2016 - 2024 (7 years)2 FIRMS2024 - Present (<1 year)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2002 - 2002 (<1 year)BINTERFIRST CAPITAL CORPORATION (CRD# 7659)2001 - 2002 (<1 year)
License(s)

State Registrations

B
Arizona 9/16/2024
B
Florida 9/16/2024
B
California 9/16/2024
B
Hawaii 9/16/2024
IA
California 9/16/2024
B
Pennsylvania 9/16/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:11025)
7545 IRVINE CENTER DR SUITE 200 UNIT 12, IRVINE , CA 92618
IRVINE, CA
Registered with this firm since 9/16/2024
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
7545 IRVINE CENTER DR SUITE 200 UNIT 12, IRVINE , CA 92618
IRVINE, CA
Registered with this firm since 9/16/2024
Previous Registration(s)
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IA
 12/05/2016 - 09/16/2024 WELLS FARGO ADVISORS (CRD#:19616) LOS ANGELES, CA
B
 12/05/2016 - 09/16/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LOS ANGELES, CA
IA
 06/01/2009 - 12/06/2016 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
B
 06/01/2009 - 12/06/2016 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
IA
 06/07/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 03/07/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 02/11/2002 - 02/19/2002 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
B
 11/19/2001 - 02/11/2002 INTERFIRST CAPITAL CORPORATION (CRD#:7659) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.