Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rod? Claim Your ProfileRod Yoshio Nakamoto is a financial advisor with over 30 years of experience in the industry. Rod currently works at Rockefeller Financial LLC and is registered as a Registered Representative (RA) in California. Previously, Rod worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, J.P. Morgan Securities LLC, Deutsche Bank Securities Inc., Citigroup Global Markets Inc., and Lehman Brothers Inc. Rod holds multiple licenses and certifications, including Series 7, 9, 10, 31, and 63 licenses, and is a Certified Financial Planner. Rod specializes in providing financial planning, portfolio management for individuals and businesses, and selection of other advisors. Rod’s professional experience includes working with a variety of clients, including high-net-worth individuals, corporations, pension plans, and charitable organizations.
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.
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.
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
08/15/2022 - Present
Rockefeller Financial LLC (Los Angeles CA)
CA
11/28/2016 - 08/16/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (EL SEGUNDO CA)
CA
10/14/2011 - 12/01/2016
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
08/25/2006 - 10/24/2011
DEUTSCHE BANK SECURITIES INC. (LOS ANGELES CA)
CA
07/31/1993 - 08/25/2006
CITIGROUP GLOBAL MARKETS INC. (EL SEGUNDO CA)
NY
02/11/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 02/26/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/19/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/13/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/08/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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