Ryuzo Nitta
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.
Ryuzo Nitta was a registered financial professional .
Ryuzo is a previously registered financial professional and started their career in finance in 1961. Ryuzo had worked at 4 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 1996 - May 24, 2004
THOMAS GREEN SECURITIES, INC.
September 28, 1989 - February 5, 1996
KANKAKU SECURITIES (AMERICA) INC.
September 17, 1984 - July 5, 1985
MORGAN STANLEY & CO. LLC
November 3, 1961 - September 14, 1984
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
Series 1
Date: 4/19/1960
Registered Representative ExaminationCurrent Firm
THOMAS GREEN SECURITIES, INC.
CRD#: 571 / SEC#: , 8-4760
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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