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YK

Yuka Kimoto

TNCP
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 4698762
YK

Professional summary

Yuka Kimoto is a registered financial professional currently at TNCP, LLC located in Stamford, Connecticut.

Yuka is registered as a RR (Registered Representative) and started their career in finance in 2003. Yuka has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Yuka Kimoto'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

May 27, 2024 - Present

TNCP, LLC

Office #1: 9 West Broad Street Suite 510, Stamford, CT 06902
BD
CRD#: 150134
Stamford, CT
Past

May 10, 2005 - October 26, 2010

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

May 26, 2004 - May 6, 2005

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

September 22, 2003 - May 19, 2004

THE BRIDGEFORD GROUP, INC.

BD
CRD#: 38557
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Connecticut
(5/29/2024)
RR
New York
(6/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/1/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/25/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/1/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TL
TNCP, LLC
TNCP, LLC

CRD#: 150134 / SEC#: , 8-68220

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
9 West Broad Street Suite 510, Stamford, CT 06902
Mailing Address
9 West Broad Street Suite 510, Stamford, CT 06902
Phone number
(203) 604-2007
Established
Delaware since 03/26/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRUENORTH CAPITAL PARTNERS LLCMEMBER
BEATON, DANIEL STEWARTPART-TIME FINOP4240769
GAYNOR, JEFFREY BRIANELECTED MANAGER, SECRETARY, CHIEF COMPLIANCE OFFICER4686162
ROSSETTI, FREDERICK ANTHONYPRESIDENT, TREASURER4686240

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.

Company Information

TNCP, LLC

CRD#: 150134Stamford, CT 06902

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