Stacey J. Morimoto
Professional summary
Stacey Jim Morimoto is a registered financial advisor currently at STAX CAPITAL located in San Diego, California.
Stacey is registered as a RR (Registered Representative) and started their career in finance in 2002. Stacey has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stacey Jim Morimoto's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 10, 2019 - Present
STAX CAPITAL
Office #1: 10525 Vista Sorrento Parkway Suite 220, San Diego, CA 92121Office #2: 10525 Vista Sorrento Parkway Suite 220, San Diego, CA 92121May 9, 2019 - September 24, 2019
K CAPITAL LLC
November 27, 2012 - May 6, 2019
DFPG INVESTMENTS, LLC
June 13, 2008 - November 30, 2010
GIRARD SECURITIES, INC.
October 19, 2004 - December 5, 2008
MIDPOINT FINANCIAL SERVICES, INC.
July 8, 2002 - March 3, 2008
PRECISION SECURITIES, LLC
May 9, 2002 - June 26, 2002
CITIGROUP GLOBAL MARKETS INC.
March 19, 2002 - June 26, 2002
CITIGROUP GLOBAL MARKETS 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
(11/19/2019)
(6/12/2019)
(6/24/2020)
(5/3/2021)
(7/30/2019)
(9/13/2021)
(1/21/2021)
(8/20/2020)
(12/4/2023)
(4/6/2021)
(3/18/2020)
(9/25/2019)
(12/2/2024)
(3/22/2021)
(2/21/2022)
(9/6/2019)
(2/28/2022)
(8/2/2022)
(6/27/2019)
(5/24/2021)
(8/22/2019)
(4/8/2021)
(11/12/2021)
(10/30/2019)
Exams
FINRA
Current Firm
STAX CAPITAL
CRD#: 300607 / SEC#: , 8-70311
Contact information
FINRA licenses (24 States and Territories)
Red Flags
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