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APRIL MICHIKO ZEE
APRIL MICHIKO NISHIMOTO
CRD#: 4328252
IA
B
FIRST CITIZENS INVESTOR SERVICES, INC.CRD#: 44430 75 N. Fair Oaks Ave
SUITE 400
Pasadena, CA 91103
SUITE 400
Pasadena, CA 91103
0
Disclosures
15
Years of Experience
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State Registrations
B
California 10/5/2023
IA
California 10/5/2023
SRO Registrations
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IA
Registered with this firm since 10/5/2023
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Registered with this firm since 10/5/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/03/2021 - 05/31/2023 | San Jose, CA | |
B | 03/03/2021 - 05/31/2023 | SAN JOSE, CA | |
IA | 12/15/2020 - 02/10/2021 | LOS ANGELES, CA | |
B | 07/30/2019 - 02/10/2021 | LOS ANGELES, CA | |
IA | 01/03/2011 - 11/12/2012 | PASADENA, CA | |
B | 01/03/2011 - 11/12/2012 | PASADENA, CA | |
IA | 02/22/2007 - 01/03/2011 | PASADENA, CA | |
B | 03/02/2007 - 01/03/2011 | PASADENA, CA | |
IA | 08/31/2001 - 05/04/2005 | LOS ANGELES, CA | |
B | 05/02/2001 - 05/04/2005 | SAN FRANCISCO, CA | |
B | 02/23/2001 - 05/02/2001 | SAN FRANCISCO, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.