Ryne A. Nishimi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ryne Atsushi Nishimi was a registered financial professional .
Ryne is a previously registered financial professional and started their career in finance in 1982. Ryne had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2011 - April 29, 2020
PIMCO INVESTMENTS LLC
June 9, 2006 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
June 9, 2006 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
October 11, 2005 - May 30, 2006
AIM PRIVATE ASSET MANAGEMENT
September 28, 2005 - May 30, 2006
INVESCO DISTRIBUTORS, INC.
August 19, 2005 - September 22, 2005
RELATED EQUITIES CORPORATION
April 22, 2004 - August 30, 2005
VAN KAMPEN ADVISORS INC
February 18, 2004 - August 17, 2005
INVESCO CAPITAL MARKETS, INC.
June 25, 2002 - March 11, 2004
UBS FINANCIAL SERVICES INC.
May 20, 2002 - March 11, 2004
UBS FINANCIAL SERVICES INC.
March 11, 2002 - May 15, 2002
UBS ASSET MANAGEMENT (US) INC.
March 24, 1999 - March 18, 2002
UBS FINANCIAL SERVICES INC.
June 11, 1997 - April 13, 1999
ALLIANCEBERNSTEIN INVESTMENTS, INC.
January 1, 1997 - May 5, 1997
COREBRIDGE CAPITAL SERVICES, INC.
March 14, 1984 - December 4, 1996
RELATED EQUITIES CORPORATION
December 21, 1982 - August 15, 1983
METRIC CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
