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MS

Miako Suzuki

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CRD#: 7528900
MS

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.

Miako Suzuki was a registered financial professional .

Miako is a previously registered financial professional and started their career in finance in 2024. Miako had worked at 1 firm and has passed the Series 7TO and SIE 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 13, 2024 - May 16, 2025

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 9/13/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/15/2021
Securities Industry Essentials Examination

Current Firm

DC
DAIWA CAPITAL MARKETS AMERICA INC.
DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA SECURITIES AMERICA INC.

CRD#: 1576 / SEC#: , 8-12242

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

Main Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Phone number
(212) 612-7000
Established
New York since 12/08/1964
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC.SHAREHOLDER
AIZAWA, GAKUMANAGING DIRECTOR / MEMBER OF THE BOARD OF DIRECTORS1763967
GREFE, JOHN HERBERT IIIEXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER3275699
MACHIDA, KEIJIPRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR)7273228
PARRY, GEORGE LCFO / TREASURER3221390
SAMBONGI, TOHRUMANAGING DIRECTOR / CO-HEAD OF FIXED INCOME7302894
UEJIMA, EIJIMANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION8039040
YAMAUCHI, MASAHIRODEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS7920876

Disclosures

Regulatory Event30

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

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

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