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Detailed Report
KYLE TAKEO NAKANO
CRD#: 2786159
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 242 S DE LACEY AVE
PASADENA, CA 91105-2006
Registration History
19801985199019952000200520102015202020252 FIRMS2008 - 2013 (4 years)2 FIRMS2013 - Present (11 years)BM.L. STERN & CO., LLC. (CRD# 8327)2002 - 2008 (6 years)BTHE BOSTON GROUP (CRD# 37652)1996 - 1997 (<1 year)IAM. L. STERN & CO, LLC. (CRD# 8327)2004 - 2008 (4 years)
Disclosure(s)
View By:
12/17/1980
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 10/16/2013
B
Idaho 10/16/2013
B
California 10/16/2013
B
Illinois 10/16/2013
IA
California 10/16/2013
B
Minnesota 10/21/2013
B
Colorado 10/16/2013
B
Ohio 10/16/2013
B
Florida 10/16/2013
B
Oklahoma 10/16/2013
B
Hawaii 10/2/2014

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
242 S DE LACEY AVE, PASADENA, CA 91105-2006
Los Angeles, CA
Registered with this firm since 10/16/2013
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
242 S DE LACEY AVE, PASADENA, CA 91105-2006
Los Angeles, CA
Registered with this firm since 10/16/2013
Previous Registration(s)
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IA
 12/05/2008 - 10/21/2013 SOUTHWEST SECURITIES, INC. (CRD#:6220) BEVERLY HILLS, CA
B
 12/04/2008 - 10/21/2013 SOUTHWEST SECURITIES, INC. (CRD#:6220) BEVERLY HILLS, CA
IA
 08/26/2004 - 12/23/2008 M. L. STERN & CO, LLC. (CRD#:8327) BEVERLY HILLS, CA
B
 04/03/2002 - 12/23/2008 M.L. STERN & CO., LLC. (CRD#:8327) BEVERLY HILLS, CA
B
 10/22/1996 - 02/25/1997 THE BOSTON GROUP (CRD#:37652) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.