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Detailed Report
NATHAN DONALD KAWAGUCHI
NATHAN KAWAGUCHI
CRD#: 4637815
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 2277 FAIR OAKS BLVD STES
150,155
SACRAMENTO, CA 95825
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 2277 FAIR OAKS BLVD STES 150,155
SACRAMENTO, CA 95825
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2009 (1 year)2 FIRMS2011 - 2013 (1 year)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - Present (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2013 - Present (12 years)BE*TRADE SECURITIES LLC (CRD# 29106)2003 - 2003 (<1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)2013 - 2018 (5 years)
License(s)

State Registrations

B
Arizona 4/23/2020
B
Montana 3/2/2024
B
California 2/11/2013
B
Nevada 3/2/2024
IA
California 7/13/2018
B
New Mexico 3/2/2024
B
Colorado 5/15/2015
B
New York 10/11/2019
B
Connecticut 1/6/2017
B
North Carolina 3/2/2024
B
Florida 1/6/2017
B
Oregon 3/2/2024
B
Hawaii 10/11/2019
B
Pennsylvania 3/2/2024
B
Idaho 3/2/2024
B
Tennessee 3/2/2024
B
Maine 3/2/2024
IA
Texas 7/13/2018
B
Maryland 12/10/2024
B
Texas 3/2/2024
B
Massachusetts 1/27/2020
IA
Utah 7/20/2020
B
Michigan 3/2/2024
B
Washington 3/2/2024

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
2277 FAIR OAKS BLVD STES 150,155, SACRAMENTO, CA 95825
CARMICHAEL, CA
Registered with this firm since 7/13/2018
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
2277 FAIR OAKS BLVD STES 150,155, SACRAMENTO, CA 95825
CARMICHAEL, CA
Registered with this firm since 2/11/2013
Previous Registration(s)
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IA
 02/14/2013 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) SACRAMENTO, CA
IA
 09/12/2011 - 01/25/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROSEVILLE, CA
B
 09/12/2011 - 01/25/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROSEVILLE, CA
IA
 01/01/2008 - 10/22/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) MODESTO, CA
B
 01/01/2008 - 10/22/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) MODESTO, CA
B
 02/12/2007 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) MODESTO, CA
IA
 02/26/2007 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) MODESTO, CA
B
 04/07/2003 - 10/20/2003 E*TRADE SECURITIES LLC (CRD#:29106) JERSEY CITY, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.