Nicholas K. Hatanaka
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.
Nicholas K. Hatanaka, who also goes by Nicholas Hatanaka, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2007. Nicholas had worked at 4 firms and has passed the Series 63, Series 55 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
December 11, 2009 - December 3, 2012
TRANSCEND CAPITAL
April 6, 2009 - December 9, 2009
LIGHTHOUSE FINANCIAL GROUP, LLC
March 16, 2009 - April 13, 2009
DIMENSION SECURITIES, LLC
September 22, 2007 - March 10, 2009
SCHONFELD SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Series 55
Date: 5/3/2011
Limited Representative-Equity Trader ExamCurrent Firm
TRANSCEND CAPITAL
CRD#: 104483 / SEC#: , 8-52946
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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