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Makiko Morita

Smbc Nikko Securities America, Inc.

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About Makiko Morita

Makiko Morita is a financial advisor with over 15 years of experience in the industry. Makiko currently works at Smbc Nikko Securities America, Inc. where she has been since 2018. Makiko has a proven track record of success in the financial services industry and is committed to providing her clients with personalized financial advice and guidance. Makiko has passed several industry exams including the Series 7, Series 63, Series 79, and the Securities Industry Essentials Examination. Makiko is licensed to conduct business in all 50 states. Prior to joining Smbc Nikko Securities America, Inc., Makiko worked at Japaninvest Inc. and Daiwa Securities America Inc. Makiko holds a Series 63 license and is registered with FINRA.

Firm Information

Makiko Morita is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

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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Makiko Morita’s Registration & Firm History

NY

11/07/2018 - Present

Smbc Nikko Securities America, Inc. (NEW YORK NY)

NY

11/18/2005 - 12/31/2006

JAPANINVEST INC. (NEW YORK NY)

NY

05/18/2001 - 06/11/2003

DAIWA SECURITIES AMERICA INC. (NEW YORK NY)

NY

09/11/2000 - 03/16/2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/19/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/08/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/07/2018

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 11/17/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Makiko Morita.
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