Royce Makishima, financial advisor Sacramento CA
93 score

Royce Makishima

CRD Number: 1309152
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Royce Makishima (CRD# 1309152) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Sacramento, CA and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Sacramento, CA Mar 2015 - Current 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sacramento, CA Mar 2015 - Current 3
Citigroup Global Markets Inc. Sacramento, CA May 2013 - Mar 2015 1
J.p. Morgan Securities LLC Sacramento, CA Oct 2012 - May 2013 < 1
Chase Investment Services Corp Sacramento, CA Feb 2011 - Oct 2012 1
Japanese American Citizens League Sacramento, CA Feb 2011 - Jun 2011 < 1
Wells Fargo Advisors Sacramento, CA Sep 2008 - Feb 2011 2
Wachovia Securities, LLC Sacramento, CA Jun 2008 - Sep 2009 1
Wachovia Securities, LLC Folsom, CA Jun 2003 - Jun 2008 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1989
S65 NASAA Investment Advisors Law Examination Jun 2011
Contact Info for Royce L. Makishima
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    639,574
    MILLIONS
  • Total Number of Accounts
    1,831,494
    ACCOUNTS
  • Average Account Value
    $349,209
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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