Ward T. Nishida
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.
Ward Takao Nishida was a registered financial professional .
Ward is a previously registered financial professional and started their career in finance in 1998. Ward had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 51, Series 27 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
November 17, 1998 - January 21, 2022
WESTFIELD INVESTMENT GROUP, INC.
February 4, 1998 - January 27, 1999
WAKO SECURITIES(AMERICA), INC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WESTFIELD INVESTMENT GROUP, INC.
CRD#: 45537 / SEC#: , 8-51081
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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