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Tamon Uetake

Smbc Nikko Securities America, Inc.

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About Tamon Uetake

Tamon Uetake is a registered representative with Smbc Nikko Securities America, Inc. Tamon is licensed to provide investment advice and products in all 50 U.S. states and has held a Series 63 and Series 79TO licenses. He has been in the financial services industry since February 12, 2024.

Firm Information

Tamon Uetake 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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Tamon Uetake’s Registration & Firm History

NY

02/13/2024 - Present

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

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Licenses & Designations

BC

Issued 04/08/2024

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/13/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/06/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tamon Uetake.
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