Steven K. Hatamiya
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.
Steven Kenji Hatamiya, who also goes by Steve Hatamiya, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1989. Steven had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2014 - September 21, 2015
NI ADVISORS
July 20, 2010 - June 5, 2012
NI ADVISORS
June 7, 2007 - September 11, 2008
WADDELL & REED
June 7, 2007 - September 11, 2008
WADDELL & REED
February 28, 2005 - July 5, 2005
OSAIC WEALTH, INC.
December 12, 2002 - March 24, 2004
CETERA FINANCIAL SPECIALISTS LLC
March 14, 2001 - April 12, 2002
M.L. STERN & CO., LLC.
April 28, 1999 - August 28, 1999
WELLS FARGO SECURITIES INC.
July 18, 1996 - October 4, 1996
PRUCO SECURITIES, LLC.
January 3, 1996 - March 26, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 3, 1996 - March 26, 1996
EQUITABLE ADVISORS, LLC
June 14, 1989 - May 9, 1990
CETERA WEALTH SERVICES, LLC
January 16, 1989 - April 19, 1989
WADDELL & REED
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
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory 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.
