Royce L. Makishima
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.
Royce Lee Makishima was a registered financial professional .
Royce is a previously registered financial professional and started their career in finance in 1984. Royce had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2015 - October 13, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 2015 - October 13, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 2013 - March 6, 2015
CITIGROUP GLOBAL MARKETS INC.
May 14, 2013 - March 6, 2015
CITIGROUP GLOBAL MARKETS INC.
October 1, 2012 - May 22, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - May 22, 2013
J.P. MORGAN SECURITIES LLC
February 14, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 8, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 13, 2003 - February 3, 2011
WELLS FARGO CLEARING SERVICES, LLC
December 10, 2001 - February 3, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1997 - December 13, 2001
A. G. EDWARDS & SONS, INC.
July 22, 1994 - October 16, 1997
PIPER SANDLER & CO.
June 20, 1989 - July 25, 1994
MORGAN STANLEY DW INC.
January 30, 1986 - June 26, 1989
SUTRO & CO. INCORPORATED
October 26, 1984 - February 12, 1986
TRANSINTERNATIONAL SECURITIES
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 7TO
Date: 7/11/2022
General Securities Representative ExaminationSeries 8
Date: 11/19/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
