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Detailed Report
Rachel Rie Fash
Rachel Rie Nakamitsu, Rachel Nakamitsu
CRD#: 7240152
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10400 NE 4TH ST
BELLEVUE, WA 98004
Registration History
2020202120222023202420252026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2021 - Present (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2020 - Present (4 years)
License(s)

State Registrations

B
Alabama 4/3/2025
B
New Hampshire 4/3/2025
B
Alaska 3/21/2025
B
New Jersey 4/3/2025
B
Arizona 10/20/2021
B
New Mexico 10/20/2021
B
California 10/20/2021
B
New York 10/20/2021
B
Colorado 10/20/2021
B
North Carolina 10/20/2021
B
Connecticut 3/21/2025
B
Ohio 4/3/2025
B
Florida 3/21/2025
B
Oklahoma 4/3/2025
B
Georgia 4/3/2025
B
Oregon 10/20/2021
B
Hawaii 10/20/2021
B
Pennsylvania 10/20/2021
B
Idaho 10/20/2021
B
South Carolina 1/28/2022
B
Illinois 3/21/2025
B
Texas 10/20/2021
B
Maine 4/3/2025
IA
Texas 10/20/2021
B
Maryland 10/20/2021
B
Utah 4/3/2025
B
Massachusetts 10/20/2021
B
Vermont 4/3/2025
B
Michigan 4/3/2025
B
Virginia 10/20/2021
B
Mississippi 3/21/2025
B
Washington 10/6/2021
B
Missouri 11/15/2021
IA
Washington 10/6/2021
B
Nevada 4/3/2025
B
Wisconsin 3/21/2025

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10400 NE 4TH ST, BELLEVUE, WA 98004
Registered with this firm since 10/6/2021
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10400 NE 4TH ST, BELLEVUE, WA 98004
Registered with this firm since 12/18/2020
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.