Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ray? Claim Your ProfileRay Nishikawa is a financial advisor with over 20 years of experience in the industry. Ray is currently registered with LPL Financial LLC and has been working with them since 2011. Ray is a dedicated financial professional, offering a variety of services to help clients reach their financial goals, including financial planning, investment management, and portfolio management. Ray is committed to providing personalized advice and tailored strategies to meet individual client needs.
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.
Consulting and other non-discretionary advisory services
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
UT
08/29/2011 - Present
LPL Financial LLC (SANDY UT)
UT
09/02/2009 - 08/08/2011
KEY INVESTMENT SERVICES LLC (SALT LAKE CITY UT)
UT
03/08/2001 - 09/18/2009
AMERIPRISE ADVISOR SERVICES, INC. (MIDVALE UT)
IA
Issued 06/27/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 07/26/2001
Series 7 - General Securities Representative Examination
BC
Issued 03/07/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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