Ray Nishikawa
Ray Nishikawa is a registered investment advisor at LPL Financial LLC, based in Sandy, UT, with 24 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
858 E. 9400 South, Sandy, UT, 84094
Get directionsHistory
Regulatory History (2)
Customer Dispute
December 2023Customer Dispute
July 2013Other Business ActivitiesSells Insurance
Ray operates under Mountain America Investment Services as a DBA for LPL business, dedicating full-time hours during securities trading. He also works with Mountain America Insurance Services selling non-variable insurance, spending about a quarter of his time on this activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Key Investment Services LLC
Key Investment Services LLCBroker
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
State Registrations16 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.