Ken Suzuki

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CRD#: 1048082

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.

Ken Suzuki was a registered financial professional .

Ken is a previously registered financial professional and started their career in finance in 1982. Ken had worked at 1 firm and has passed the Series 41 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 7, 1982 - October 27, 1994

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

CRD#: 824

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

AMOVA ASSET MANAGEMENT AMERICAS, INC. | THE NIKKO SECURITIES CO. INTERNATIONAL, INC. | NIKKO ASSET MANAGEMENT AMERICAS, INC. | NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

CRD#: 824 / SEC#: 801-60881, 8-17611

RIA

Registered Investment Advisory firm - SEC (5/22/2002 Approved)

Terminated by SEC on 08/30/2005

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 41

Date: 1/12/1984

NYSE Allied Member Examination

Current Firm

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

AMOVA ASSET MANAGEMENT AMERICAS, INC. | THE NIKKO SECURITIES CO. INTERNATIONAL, INC. | NIKKO ASSET MANAGEMENT AMERICAS, INC. | NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

CRD#: 824 / SEC#: 801-60881, 8-17611

RIA

Registered Investment Advisory firm - SEC (5/22/2002 Approved)

Terminated by SEC on 08/30/2005

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Contact information

Main Address

605 Third Avenue 38th Floor, New York, NY 10158

Mailing Address

Phone number

(212) 610-6100

Established

Delaware since 01/25/1972

Firm type

Corporation

Fiscal year end

March

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

AMOVA AMA FORM ADV PART 2A BROCHURE SEPTEMBER 2025 (9/9/2025)

Direct owners and executive officers

Name	Position	CRD#
NIKKO AMERICAS HOLDING CO., INC.	OWNER
DANIELLO, JOHN GERARD MR.	DIRECTOR	4582625
HODERMARSKY, PAUL JAMES	SVP, CFO	1072237
LEE, JEFF YIMYU	EXECUTIVE VICE PRESIDENT	2519049
MENDOLA, JOSEPH ANGELO	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR	2876577
STEGLITZ, MARC HARRY	DIRECTOR
TSUJIMURA, HIROKI	PRESIDENT AND CEO	2302926

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 9,037,916,729

Disclosures

Regulatory Event	19
Civil Event	1

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.

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Ken Suzuki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 41

Date: 1/12/1984

Current Firm

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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