Robin L. Nakao
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.
Robin Lea Nakao was a registered financial professional .
Robin is a previously registered financial professional and started their career in finance in 1982. Robin had worked at 8 firms and has passed the Series 66, SIE, Series 79, Series 7, Series 27, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2018 - January 5, 2021
CODE ADVISORS LLC
December 26, 2013 - September 8, 2017
ROBERTSON STEPHENS SECURITIES
December 9, 2013 - September 8, 2017
ROBERTSON STEPHENS ADVISORS
November 27, 2013 - December 9, 2013
ROBERTSON STEPHENS ADVISORS
May 19, 2006 - December 18, 2006
SAGETRADER, LLC
April 28, 2004 - October 24, 2005
S & Y ASSET MANAGEMENT LLC
February 15, 1984 - May 10, 1991
CHARLES SCHWAB & CO., INC.
September 24, 1982 - October 10, 1983
DAVIS, SKAGGS & CO., INC.
September 23, 1982 - January 27, 1984
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 2/20/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CODE ADVISORS LLC
CRD#: 153192 / SEC#: , 8-68511
Contact information
Documents
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.
