Bert Takita Resigns from Equitable Advisors
Bert Takita (CRD #: 5852632) has been permitted to resign by Equitable Advisors. This is according to his BrokerCheck record, accessed on November 15, 2023. Keep reading if you have questions about his conduct as a broker.
On September 13, 2023, Bert Takita was permitted to resign while under investigation for failing to report outside business activities and an unsatisfied judgment.
FINRA Rule 3270 – Outside Business and Selling Away
FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.
Bert Takita has the following outside businesses on his detailed BrokerCheck record:
- NAIFA Honolulu
- REB Enterprises: Board member / officer/ director
- BETT Ventures LLC: Owner/ manager
- BETT Holdings: Owner/ Manager
- BM Capital: Owner/ Manager
- Greenbuild Capital: Owner/Manager
- Fontaine Capital LLC: Owner/Manager
- JAB Enterprises: Owner/Manager – Organizes sales for solar photo voltaic installation
- Member of Cliffs Partners
- “Various Outside Brokerage Companies”
On March 7, 2023, Bert Takita became the subject of a civil judgment for $289,800.
Bert Takita has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 24 General Securities Principal Examination
Kurta Law Can Help
If you worked with Bert Takita and have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.