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Guy Koji Nagahama

Samuel A. Ramirez & Company, Inc.

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About Guy Koji Nagahama

Guy Nagahama is a financial advisor at Samuel A. Ramirez & Company, Inc. Guy has over 25 years of experience in the financial services industry. Guy is a registered representative and holds the Series 7, Series 50, Series 52TO, Series 53, Series 54, Series 79TO, and SIE licenses. Guy is also a registered principal and holds the Series 30 and Series 53 licenses. Guy is licensed to provide financial advice in 33 states.

Firm Information

Guy Nagahama is currently registered with Samuel A. Ramirez & Company, Inc.. Samuel A. Ramirez & Company, Inc. is a corporation formed in 1971. It is registered in 51 states and the District of Columbia, as well as with the Securities and Exchange Commission (SEC). The firm has been involved in 6 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

118

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Guy Nagahama’s Registration & Firm History

MA

05/15/2018 - Present

Samuel A. Ramirez & Company, Inc. (BOSTON MA)

MA

03/27/2009 - 05/10/2018

JEFFERIES LLC (BOSTON MA)

MA

09/14/2007 - 03/27/2009

DEPFA FIRST ALBANY SECURITIES, LLC (BOSTON MA)

MA

07/06/1995 - 09/18/2007

BROADPOINT CAPITAL, INC. (BOSTON MA)

NY

11/08/1993 - 06/08/1995

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/16/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/23/2019

Series 54 - Municipal Advisor Principal Qualification Examination

BC

Issued 11/24/2015

Series 30 - NFA Branch Manager Examination

BC

Issued 04/11/2001

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/15/2016

Series 50 - Municipal Advisor Representative Qualification Exam

BC

Issued 11/06/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Guy Koji Nagahama.
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