Keay T. Nakae

CHARDAN CAPITAL MARKETS LLC

NEW YORK, NY 10119

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CRD#: 4212082

Professional summary

Keay Thomas Nakae is a registered financial professional currently at CHARDAN CAPITAL MARKETS LLC located in New York, New York.

Keay is registered as a RR (Registered Representative) and started their career in finance in 2001. Keay has worked at 5 firms and has passed the Series 66, SIE, Series 87, Series 16, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Keay Thomas Nakae'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

January 20, 2015 - Present

CHARDAN CAPITAL MARKETS LLC

Office #1: 1 Pennsylvania Plaza Suite 4800, New York, NY 10119

CRD#: 120128

NEW YORK, NY

Past

March 23, 2012 - January 23, 2015

ASCENDIANT CAPITAL MARKETS, LLC

CRD#: 152912

JUPITER, FL

Past

May 27, 2010 - March 20, 2012

CHARDAN CAPITAL MARKETS LLC

CRD#: 120128

PALO ALTO, CA

Past

September 28, 2009 - May 3, 2010

TICONDEROGA SECURITIES LLC

CRD#: 7671

NEW YORK, NY

Past

June 16, 2004 - September 2, 2009

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

SAN FRANCISCO, CA

Past

January 24, 2001 - June 17, 2004

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

State Registrations and Notice Filings

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

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

California
(1/20/2015)

Illinois
(3/13/2015)

New York
(1/20/2015)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/5/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 10/12/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 16

Date: 1/12/2004

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 1/23/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/4/2020

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CHARDAN CAPITAL MARKETS LLC

CHARDAN | THE GRAMERCY GROUP, LLC | CHARDAN CAPITAL MARKETS LLC | CHARDAN CAPITAL MARKETS

CRD#: 120128 / SEC#: , 8-65277

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

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Contact information

Main Address

1 Pennsylvania Plaza Suite 4800, New York, NY 10119

Mailing Address

1 Pennsylvania Plaza Suite 4800, New York, NY 10119

Phone number

(646) 465-9000

Established

New York since 03/05/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CHARDAN SECURITIES, LLC	MEMBER
GROSSMAN, JONAS SVEN MAGNUS	PRESIDENT	3186901
MILLER, ANDREW DAVID	FINOP	5106774
MILLER, ANDREW DAVID	PRINCIPAL OPERATIONS CFFICER	5106774
MILLER, ANDREW DAVID	PRINCIPAL FINANCIAL OFFICER	5106774
SOUTHWICK, DWIGHT CHRISTIAN	CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER	1353036
URBACH, STEVEN AARON	CEO	4137317

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Keay T. Nakae

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keay Thomas Nakae's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENDIANT CAPITAL MARKETS, LLC

CHARDAN CAPITAL MARKETS LLC

TICONDEROGA SECURITIES LLC

CANACCORD GENUITY SECURITIES LLC

WEDBUSH SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/5/2001

SIE

Date: 10/1/2018

Series 87

Date: 10/12/2004

Series 16

Date: 1/12/2004

Series 7

Date: 1/23/2001

Series 24

Date: 2/4/2020

FINRA

Nasdaq Stock Market

Current Firm

CHARDAN CAPITAL MARKETS LLC

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CHARDAN CAPITAL MARKETS LLC

TRUST BUT VERIFY

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