Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Terrie? Claim Your ProfileTerrie Aoki is a financial professional with over 30 years of experience in the financial industry. Terrie is currently registered with Santander US Capital Markets LLC and holds several industry licenses, including Series 3, 4, 7, 24, 55, 63, 79, SIE and 99TO. Terrie has previously been registered with a number of firms, including SANTANDER INVESTMENT SECURITIES INC., MUFG SECURITIES AMERICAS INC., MUFG AMERICAS CORPORATE ADVISORY, INC., BROADWALL CAPITAL LLC, REDBURN PARTNERS (USA) LP, KAUPTHING SECURITIES, INC., AUERBACH GRAYSON & COMPANY INCORPORATED, DAIWA SECURITIES AMERICA INC., RASHID HUSSAIN SECURITIES INC., DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC., JAMES CAPEL INCORPORATED and NIPPON KANGYO KAKUMARU INTERNATIONAL, INC..
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
02/06/2023 - Present
Santander US Capital Markets LLC (NEW YORK NY)
NY
07/10/2018 - 02/06/2023
SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)
NY
04/03/2017 - 06/25/2018
MUFG SECURITIES AMERICAS INC. (NEW YORK NY)
NY
03/28/2011 - 06/25/2018
MUFG AMERICAS CORPORATE ADVISORY, INC. (New York NY)
CA
02/09/2007 - 07/02/2007
BROADWALL CAPITAL LLC (PALO ALTO CA)
NY
11/10/2006 - 02/27/2007
REDBURN PARTNERS (USA) LP (NEW YORK NY)
NY
06/14/2001 - 04/13/2005
KAUPTHING SECURITIES, INC. (NEW YORK CITY NY)
NY
09/10/1999 - 12/21/2001
AUERBACH GRAYSON & COMPANY INCORPORATED (NEW YORK NY)
NY
04/20/1998 - 09/08/1999
DAIWA SECURITIES AMERICA INC. (NEW YORK NY)
NY
09/09/1996 - 04/20/1998
RASHID HUSSAIN SECURITIES INC. (NEW YORK NY)
NY
11/12/1993 - 06/12/1996
DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC. (NEW YORK NY)
NA
10/24/1988 - 10/25/1993
JAMES CAPEL INCORPORATED
NA
05/22/1984 - 08/31/1988
NIPPON KANGYO KAKUMARU INTERNATIONAL, INC.
BC
Issued 05/16/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/18/2011
Series 24 - General Securities Principal Examination
BC
Issued 04/11/2001
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 06/14/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/09/1987
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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