Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hiroki? Claim Your ProfileHiroki Katsumata is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Hiroki has been in the industry since May 2014. He is licensed to provide investment advice in Connecticut, New Jersey, New York, and Texas. Hiroki holds the Series 66, Series 7, and SIE licenses. Hiroki is also a registered investment advisor representative. Hiroki offers investment advice and portfolio management services to a wide range of clients, including high-net-worth individuals, corporations, and institutions. Hiroki is a member of the Financial Industry Regulatory Authority (FINRA). Hiroki specializes in providing investment advice and portfolio management services. He also provides educational seminars, research reports and services, and other advisory services.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
06/26/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
BOTH
Issued 06/07/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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