Fumiko Matsumoto
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.
Fumiko Matsumoto, who also goes by Fumiko Yuki, was a registered financial professional .
Fumiko is a previously registered financial professional and started their career in finance in 1998. Fumiko had worked at 9 firms and has passed the 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
August 10, 2017 - August 30, 2018
DNB MARKETS, INC.
April 8, 2015 - July 28, 2017
HSBC SECURITIES (USA) INC.
June 30, 2014 - March 18, 2015
BNY MELLON CAPITAL MARKETS, LLC
September 14, 2012 - June 27, 2014
PERSHING LLC
April 30, 2008 - October 15, 2010
BNY MELLON CAPITAL MARKETS, LLC
March 16, 2007 - April 30, 2008
BNY CAPITAL MARKETS INC.
December 3, 2004 - January 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 17, 2000 - November 11, 2004
CHARLES SCHWAB & CO., INC.
November 24, 1998 - June 28, 2000
CITIGROUP GLOBAL MARKETS INC.
August 25, 1998 - October 30, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, 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
Current Firm
DNB MARKETS, INC.
CRD#: 127605 / SEC#: , 8-66024
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DNB BANK ASA | SHAREHOLDER | |
| ANDERSEN, VIDAR | DIRECTOR | 7772839 |
| BAKKE, HEGE SIMPSON | DIRECTOR | 7772894 |
| BEHNCKE, PETER ANDREAS | DIRECTOR | 6258377 |
| BORY, MELISSA NMN | CHIEF COMPLIANCE OFFICER | 5047640 |
| BREIVIK, THOMAS OLAV OPDAHL | DIRECTOR | 7207266 |
| FELKOWSKI, BRIAN | TREASURER | 5659117 |
| JADICK, THEODORE SPENCER JR | PRESIDENT | 5847469 |
| KIRSCHENBLATT, CHAD | FINOP | 2503352 |
| MARKOWITZ, MICHAEL ERIC | SECRETARY | 7159750 |
| OPSTAD, MORTEN ALEXANDER | DIRECTOR | 6191217 |
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.
