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MM

Michele S. Miyakawa

MOELIS & COMPANY LLC
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 2273722
MM

Professional summary

Michele Sachiko Miyakawa is a registered financial professional currently at MOELIS & COMPANY LLC located in Los Angeles, California.

Michele is registered as a RR (Registered Representative) and started their career in finance in 1997. Michele has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michele Sachiko Miyakawa's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 13, 2007 - Present

MOELIS & COMPANY LLC

Office #1: 10100 Santa Monica Blvd Suite 1600, Los Angeles, CA 90067
BD
CRD#: 145115
Los Angeles, CA
Past

September 18, 2007 - December 19, 2007

MERCANTI SECURITIES, LLC

BD
CRD#: 120967
LOS ANGELES, CA
Past

March 28, 2006 - March 2, 2007

UBS SECURITIES LLC

BD
CRD#: 7654
LOS ANGELES, CA
Past

June 3, 2005 - December 16, 2005

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 11, 2001 - February 25, 2004

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

December 18, 2000 - March 5, 2001

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

May 26, 2000 - December 18, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

August 28, 1997 - March 30, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/13/2007)

Exams

State Security Law Exam
RR
Series 63
Date: 9/2/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

M&
MOELIS & COMPANY LLC
MOELIS | MOELIS & COMPANY LLC | MOELIS & COMPANY

CRD#: 145115 / SEC#: , 8-67705

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
399 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
399 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 883-3800
Established
Delaware since 06/12/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MOELIS & COMPANY GROUP LPPARENT COMPANY
CALLESANO, CHRIS PETERCFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER4889259
MAHMOODZADEGAN, NAVID ALICHIEF EXECUTIVE OFFICER2609804
MOELIS, KENNETH DAVIDEXECUTIVE CHAIRMAN1015047
PILCHER CIAFONE, KATHERINE CELYCHIEF OPERATING OFFICER4573006
RAICH, JEFFREY ALANEXECUTIVE VICE CHAIRMAN2016620
WATANABE, OSAMU RICHARDCHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER2875185

Disclosures

Regulatory Event1

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.

Company Information

MOELIS & COMPANY LLC

CRD#: 145115Los Angeles, CA 90067

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