Seiji P. Nakamura
Professional summary
Seiji Peter Nakamura, who also goes by Sage Peter Nakamura, Seiji P Nakamura, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in Stamford, Connecticut.
Seiji is registered as a RR (Registered Representative) and started their career in finance in 1994. Seiji has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Seiji Peter Nakamura's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2016 - Present
CAPITAL ONE SECURITIES, INC.
Office #1: 100 First Stamford Place Suite #202, Stamford, CT 06902Office #2: 299 Park Avenue 28th Floor, New York, NY 10171July 17, 2001 - December 2, 2015
GE CAPITAL MARKETS, INC.
December 7, 1995 - July 12, 1996
ESSEX NATIONAL SECURITIES, LLC
November 21, 1994 - August 2, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 21, 1994 - August 2, 1995
SIGNATOR INVESTORS, 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
(1/3/2023)
(9/26/2016)
(1/9/2017)
(1/9/2017)
(1/9/2017)
(1/9/2017)
(1/9/2017)
(6/24/2016)
(1/9/2017)
(1/9/2017)
(1/9/2017)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CAPITAL ONE SECURITIES, INC.
CRD#: 44158 / SEC#: , 8-50561
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL CORPORATION | 100% SHAREHOLDER | |
| GIBNEY, JOSEPH DONOUGH | DIRECTOR | 3117394 |
| HALPRIN, GABRIELLE BAILLEUX | CHIEF FINANCIAL OPERATIONS OFFICER (FINOP) | 5087341 |
| JOHNSON, RUSSELL ALAN | DIRECTOR | 2785704 |
| KUCERA, DAVID JOHN | DIRECTOR | 2598213 |
| MULLIGAN, ROBERT | CHIEF COMPLIANCE OFFICER | 1584973 |
| NAKAMURA, SEIJI PETER | DIRECTOR | 2561992 |
| PORPHY, JEFFREY R | DIRECTOR | 4107535 |
| TULIP, STEVEN ANDREW | PRESIDENT AND DIRECTOR | 2540149 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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