Naoki Suzuki
Professional Summary
Naoki Suzuki was a registered financial advisor. Naoki was a previously registered financial professional and started their career in finance 2016 - 2022. Naoki had worked at 1 firm and has passed the SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
10 years in the financial services industry
Current & Past Employments
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Current Firm
DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA SECURITIES AMERICA INC.
Contact Information
Main Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020Mailing Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020Phone Number
(212) 612-7000Established
New York since 12/08/1964Firm Type
CorporationFiscal Year End
MarchFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | — |
| DITO, HOLLY ELOISE | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 2155924 |
| MACHIDA, KEIJI | CHAIRMAN | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAGUCHI, DAISUKE | PRESIDENT & CEO (BOARD OF DIRECTORS) | 8281962 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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