Hideki R. Namba
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.
Hideki R Namba, who also goes by H. Richard Namba, Hideki Richard Namba, Richard Namba, was a registered financial professional .
Hideki is a previously registered financial professional and started their career in finance in 1989. Hideki had worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 4, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2012 - May 19, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 2012 - May 19, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2010 - July 30, 2012
SECURITIES AMERICA ADVISORS, INC.
July 19, 2010 - July 30, 2012
SECURITIES AMERICA, INC.
May 5, 2009 - June 23, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
May 5, 2009 - June 23, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
December 13, 2007 - April 8, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
December 13, 2007 - April 8, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
May 6, 2003 - June 19, 2007
SECURITIES AMERICA ADVISORS, INC.
October 19, 1998 - June 19, 2007
SECURITIES AMERICA, INC.
April 13, 1994 - August 27, 1998
WAMU INVESTMENTS, INC.
December 4, 1989 - September 20, 1993
PUGET SOUND SECURITIES, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
