Chiharu Ando
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.
Chiharu Ando, who also goes by Chako Ando, was a registered financial professional .
Chiharu is a previously registered financial professional and started their career in finance in 1990. Chiharu had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2013 - December 15, 2015
RAINMAKER SECURITIES, LLC
June 11, 2010 - July 6, 2012
INTERNET SECURITIES
March 28, 2007 - January 12, 2009
NIHON EQUITY RESEARCH
February 7, 1996 - September 9, 1996
SMBC NIKKO SECURITIES AMERICA, INC.
April 1, 1993 - December 3, 1993
DAIWA CAPITAL MARKETS AMERICA INC.
May 18, 1991 - April 1, 1993
DAIWA AMERICA STRATEGIC ADVISORS CORPORATION
January 23, 1990 - May 20, 1991
DAIWA CAPITAL MARKETS AMERICA INC.
State Registrations and Notice Filings
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Exams
Current Firm
RAINMAKER SECURITIES, LLC
CRD#: 132995 / SEC#: , 8-66667
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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