Rodney Y. Nishikawa
Professional summary
Rodney Yutaka Nishikawa, who also goes by Rodney Y Nishikawa, Tenma, is a registered financial advisor currently at RMC FINANCIAL ADVISORS, LLC located in Davis, California and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Davis, California.
Rodney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Rodney has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Rodney Yutaka Nishikawa's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 31, 2023 - Present
RMC FINANCIAL ADVISORS, LLC
Office #1: 2744 Del Rio Place, Suite 100, Davis, CA 95618July 19, 2023 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 2744 Del Rio Place Ste. 100, Davis, CA 95618September 8, 2022 - July 25, 2023
CETERA ADVISORS LLC
November 12, 2020 - July 25, 2023
CETERA INVESTMENT ADVISERS LLC
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
November 4, 2003 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
November 14, 2000 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
April 11, 1991 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 11, 1991 - November 20, 2000
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/19/2023)
(7/19/2023)
(7/31/2023)
(7/19/2023)
(7/19/2023)
(7/19/2023)
(7/19/2023)
(3/25/2026)
(7/19/2023)
(11/12/2025)
(2/1/2024)
(7/19/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
RMC FINANCIAL ADVISORS, LLC
CRD#: 144821 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 150 |
| AUM (Assets Under Management) | $ 40,027,938 |
Red Flags
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