Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholette? Claim Your ProfileNicholette Ann Uchiyamada is a financial professional with over 25 years of experience in the industry. Nicholette has been registered with RBC Capital Markets, LLC since October 2009. Prior to that, she was registered with Crowell, Weedon & Co. from August 2005 to November 2009. Nicholette is also a registered Investment Advisor Representative in Texas. Nicholette holds the Series 7, Series 63, and Series 65 licenses. Nicholette's experience includes providing financial planning, portfolio management, and pension consulting services to a variety of clients, including individuals, families, businesses, and institutions. Nicholette is committed to providing her clients with personalized and comprehensive financial advice.
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
CA
08/24/2016 - Present
RBC Capital Markets, LLC (PASADENA CA)
CA
08/24/2005 - 11/07/2009
CROWELL, WEEDON & CO. (PASADENA CA)
CT
09/28/1999 - 08/01/2005
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
NY
11/09/1998 - 06/10/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
07/08/1993 - 06/24/1997
CROWELL, WEEDON & CO. (LOS ANGELES CA)
IA
Issued 12/15/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/12/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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