Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tomoko? Claim Your ProfileTomoko Tanaka has been in the financial services industry since 2000 and has extensive experience in providing investment advice. Currently, Tomoko is registered with Citigroup Global Markets Inc. and is a licensed Series 7, 10, 16, 24, 3, and 63 representative. Tomoko is also a Registered Options Principal. Prior to joining Citigroup Global Markets Inc., Tomoko worked at Morgan Stanley, Nomura Securities International, Inc., and Sanford C. Bernstein & Co., LLC. Tomoko specializes in asset allocation advice, financial planning, and portfolio management for individuals and businesses.
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.
Asset allocation advice
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.
1
2
NY
08/17/2007 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
06/02/2009 - 07/18/2013
MORGAN STANLEY (PURCHASE NY)
NY
10/31/2005 - 07/23/2007
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
12/07/2000 - 04/21/2004
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
12/08/1998 - 12/07/2000
SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)
BC
Issued 11/17/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/10/2015
Series 4 - Registered Options Principal Examination
BC
Issued 04/17/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2014
Series 3 - National Commodity Futures Examination
BC
Issued 12/05/2005
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 11/27/1998
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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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