Maki Hattori
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.
Maki Hattori was a registered financial professional .
Maki is a previously registered financial professional and started their career in finance in 2013. Maki had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 34 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2016 - September 11, 2018
WAFRA SECURITIES CORPORATION
August 6, 2013 - July 15, 2014
ALLIANCEBERNSTEIN INVESTMENTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WAFRA SECURITIES CORPORATION
CRD#: 149666 / SEC#: , 8-68221
Contact information
Documents
Red Flags
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