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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2023-08-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Minnesota Life | St Paul | MN | 03/1971 | 08/2023 |
| Securian Financial Services Inc. | St Paul | MN | 07/1988 | 08/2023 |
| Tax & Financial Group | Honolulu | HI | 02/1993 | Present |
| Self-Employed | Honolulu | HI | 11/1967 | Present |
| Cetera Wealth Services, Llc | Honolulu | HI | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
1) NOGUCHI & ASSOCIATES POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 01/01/1969 ADDRESS: , Honolulu HI , United States DESCRIPTION: Agent/Broker 2) TFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 11/01/1967 ADDRESS: , Honolulu HI , United States DESCRIPTION: Agent/Broker 3) NAME OF OTHER BUSINESS: TAX AND FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 35; APX NUMBER OF HOURS DURING TRADING HOURS: 6; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 1988-09-23 |
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