Ryuta Kawahara
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.
Ryuta Kawahara, who also goes by Ray Kawahara, Ryuta Kawahara, was a registered financial professional .
Ryuta is a previously registered financial professional and started their career in finance in 1988. Ryuta had worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2023 - March 6, 2024
NATIONAL FINANCIAL SERVICES LLC
October 5, 2021 - August 16, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 18, 2021 - August 14, 2023
FIDELITY BROKERAGE SERVICES LLC
June 28, 2011 - October 11, 2019
MIZUHO SECURITIES USA LLC
February 7, 2007 - September 20, 2010
BNP PARIBAS SECURITIES CORP.
September 4, 2003 - February 5, 2007
TRANSMARKET GROUP L.L.C.
December 15, 1999 - August 26, 2003
BARCLAYS CAPITAL INC.
August 28, 1996 - December 22, 1997
CITIGROUP GLOBAL MARKETS INC.
June 16, 1993 - August 7, 1996
BARCLAYS CAPITAL INC.
October 26, 1989 - August 18, 1992
HSBC SECURITIES (USA) INC.
November 10, 1988 - November 1, 1989
J.P. MORGAN SECURITIES INC.
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: 9/18/2023
Operations Professional ExaminationCurrent Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
