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Gavin Kanzo Sumimoto

Ameriprise Financial Services, LLC

Honolulu, HI

Honolulu, HI

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2017-03-20
  • HI RA
    APPROVED
    Since 2017-03-20

Branch Locations

55 Merchant St Ste 2020, Honolulu, HI 96813 • United States

Honolulu, HI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Honolulu HI 01/2016 03/2020
Ameriprise Financial Services, Llc Honolulu HI 03/2020 Present
Previous Registrations
  • 2007-12-20 → 2009-11-16
    Bancwest Investment Services, Inc.
    Honolulu, HI
    Mililani, HI
    Ewa Beach, HI
  • 2006-02-22 → 2007-08-10
    Dfc Investor Services
    Honolulu, HI
    Honolulu, HI
    Honolulu, HI
    Honolulu, HI
    Lihue, HI
    Honolulu, HI
    Honolulu, HI
  • 2002-11-06 → 2006-03-30
    Ameriprise Financial Services, Llc
    Honolulu, HI
Other Businesses

Real Estate Ownership; Single Family; 1013 Prospect St Apt 315Honolulu, HI 96822, ,; Not Investment-Related; 02/15/2010.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-20
  • S66 Uniform Combined State Law Examination
    2017-03-20

View on SEC IAPD

Other Firms

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WELLS FARGO CLEARING SERVICES, LLC
DIVERSIFY ADVISORY SERVICES, LLC
CETERA INVESTMENT ADVISERS LLC
MML INVESTORS SERVICES, LLC
COMMONWEALTH FINANCIAL NETWORK
KINGSWOOD WEALTH ADVISORS, LLC

Other Investors

Kawika Shoji
GEORGE CHRISTIAN FLOAN HART
IAN YUEN YEE WONG
KELII JK KIAKONA
ERIC-ALLEN TSUTOMU CHING
JENNIFER LEE KUANONI
TYLER YOSHIO TAKAHATA
CHASE SANTOS

Other Offices

REGENCY CAPITAL MANAGEMENT INC. · HONOLULU, HI
WEALTH ALIGNMENT PARTNERS, LLC · HONOLULU, HI
WELLS FARGO CLEARING SERVICES, LLC · HONOLULU, HI
DIVERSIFY ADVISORY SERVICES, LLC · Honolulu, HI
DIVERSIFY ADVISORY SERVICES, LLC · HONOLULU, HI
CETERA INVESTMENT ADVISERS LLC · HONOLULU, HI
MML INVESTORS SERVICES, LLC · HONOLULU, HI
COMMONWEALTH FINANCIAL NETWORK · Honolulu, HI

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