Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ayako? Claim Your ProfileAyako Tsuboya is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Ayako has been in the financial services industry since 1997. Ayako is licensed in California and Texas as a registered representative. Ayako is a Series 3, 7, 55, and 66 licensed professional.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
02/04/2015 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
CA
01/27/2011 - 08/29/2014
U.S. BANCORP INVESTMENTS, INC. (IRVINE CA)
CA
11/16/2004 - 01/25/2011
UNIONBANC INVESTMENT SERVICES, LLC (LOS ANGELES CA)
NY
08/25/2003 - 07/19/2004
MITSUBISHI SECURITIES (USA), INC. (NEW YORK NY)
NY
06/18/1996 - 10/15/2002
DAIWA SECURITIES AMERICA INC. (NEW YORK NY)
BOTH
Issued 09/19/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/01/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/26/1998
Series 3 - National Commodity Futures Examination
BC
Issued 06/17/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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