Kei Nishikawa
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.
Kei Nishikawa, who also goes by Kei Nishikawa, Ken Nishikawa, was a registered financial professional .
Kei is a previously registered financial professional and started their career in finance in 2006. Kei had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2018 - March 4, 2026
JANUS HENDERSON DISTRIBUTORS US LLC
October 11, 2017 - August 22, 2018
CETERA WEALTH SERVICES, LLC
October 11, 2017 - August 22, 2018
SUMMIT BROKERAGE SERVICES, INC.
October 11, 2017 - August 22, 2018
FIRST ALLIED SECURITIES, INC.
October 11, 2017 - August 22, 2018
CETERA INVESTMENT SERVICES LLC
October 11, 2017 - August 22, 2018
CETERA FINANCIAL SPECIALISTS LLC
October 11, 2017 - August 22, 2018
CETERA ADVISORS LLC
October 11, 2017 - August 22, 2018
CETERA WEALTH SERVICES, LLC
August 29, 2016 - September 26, 2017
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
February 4, 2010 - August 18, 2016
CETERA ADVISORS LLC
February 4, 2010 - August 18, 2016
CETERA ADVISORS LLC
June 2, 2008 - February 25, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 18, 2006 - March 4, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2006 - March 4, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
JANUS HENDERSON DISTRIBUTORS US LLC
CRD#: 28832 / SEC#: , 8-43810
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JANUS HENDERSON INVESTORS US LLC | MANAGING MEMBER | |
| ANDERS, JOHANNA MARRIE | CHIEF COMPLIANCE OFFICER AND HEAD OF DISTRIBUTION COMPLIANCE (US) | 2350087 |
| CRAWFORD, BERG ASHTON | CHIEF ACCOUNTING OFFICER | 7933828 |
| FALCONER, PETER JOHN | ASSISTANT SECRETARY | 7218508 |
| GRAUERHOLZ, STEPHANIE LYNN | DEPUTY GENERAL COUNSEL | 4696390 |
| LACY, KARLENE J | GLOBAL HEAD OF TAX | 5073113 |
| MARIANI, KRISTIN BRETT | HEAD OF COMPLIANCE, NORTH AMERICA | 2740967 |
| ROSENBERG, MICHELLE ROSE | GENERAL COUNSEL, SECRETARY | 4735608 |
| ROSENFELD, KEVIN | HEAD OF PRIVACORE SALES | 2989217 |
| SABA, STEVEN RICHARD | FINANCIAL AND OPERATIONS PRINCIPAL | 5847576 |
| SCHWEITZER, MICHAEL ALAN | PRESIDENT | 1940642 |
| UTZ, KATHRYN BRETTON | DEPUTY CHIEF COMPLIANCE OFFICER AND N.A. HEAD OF SALES PRACTICE COMPLIANCE | 3100695 |
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.
