Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Naoki? Claim Your ProfileNaoki Kato is a financial advisor with Smbc Nikko Securities America, Inc., located in NEW YORK, NY. Naoki has been in the industry since 2024 and holds the Series 63, Series 7TO and SIE licenses. Naoki is registered with the state of New York and 49 other states.
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.
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.
1
2
NY
07/03/2024 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
BC
Issued 05/01/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/03/2024
Series 7TO - General Securities Representative Examination
BC
Issued 04/08/2024
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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