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Inactive

Neil T. Rose

Regency Capital Management Inc.

Bainbridge Island, WA

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Current Employers
Regency Capital Management Inc.

1001 Bishop Street Suite 1090, Honolulu, HI 96813 • United States

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2021-03-22
  • HI RA
    APPROVED
    Since 2021-03-22

Branch Locations

Bainbridge Island, WA • 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
Cadinha & Co Llc Honolulu HI 01/2007 08/2018
Cadinha & Co., Llc Honolulu HI 08/2018 12/2020
Regency Capital Management Inc. Honolulu HI 01/2021 Present
Previous Registrations
  • 2007-01-03 → 2021-01-02
    Cadinha & Co Llc
    Honolulu, HI
    Bainbridge Island, WA
  • 2006-10-13 → 2007-01-03
    Cadinha-Puaa & Rose
    Honolulu, HI
  • 2003-01-29 → 2006-10-24
    Cadinha & Co Llc
    Honolulu, HI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-01-25
  • S65 Uniform Investment Adviser Law Examination
    2003-01-25
Designations

View on SEC IAPD

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