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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-08-22 |
| HI | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Makiki Pool | Honolulu | HI | 06/2006 | Present |
| Lpl Financial Llc | Charlotte | NC | 08/2010 | 01/2019 |
| Central Pacific Bank | Honolulu | HI | 08/2010 | 01/2019 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Summit Brokerage Services, Inc. | Boca Raton | FL | 03/2019 | 09/2019 |
| Summit Financial Group Inc | Boca Raton | FL | 03/2019 | 05/2021 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Cetera Advisor Networks Llc | El Segundo | CA | 05/2021 | 06/2023 |
1) LIFEGUARD; NOT INVESTMENT RELATED; 1527 KEEAUMOKU ST HONOLULU, HI 96822; LIFEGUARD; LIFEGUARD; 01/01/2004; APPX 3 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; LIFEGUARD AT MAKIKI POOL ON CALL 2) REAL ESTATE; NOT INVESTMENT RELATED; 98-689 AUPUNIMOI PL AIEA, HI 96701; PURCHASING REAL ESTATE AS AN INVESTMENT; REAL ESTATE; 01/01/2015; APPX 1 HOUR/MONTH; APPX 1 HOUR/MONTH DURING TRADING; PURCHASE REA ESTATE TO EITHER RENT OR FLIP 3) HAWAII FINANCIAL ADVISORS, INC; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; DBA; FINANCIAL ADVISOR; 03/27/2019; APPX 200 HOURS/MONTH; APPX 200 HOURS/MONTH DURING TRADING; FINANCIAL ADVISOR 4) PERRY FINANCIAL; NOT INVESTMENT RELATED; 13405 FOLSOM BLVD #400 FOLSOM, CA 95630; LIFE INSURANCE; INDEPENDENT AGENT; 05/06/2019; APPX 1 HR/MONTH; APPX 1 HR/MONTH DURING TRADING; PERRY ASSIST IN HELPING US FIND THE APPROPRIATE FIXED INSURANCE SOLUTIONS FOR CLIENTS. FIXED INSURANCE SHOUDL INCLUDE TERM INSURANCE, GROUP TERM INSURANCE, CASH VALUE INSURANCE (NOT VARIABLE LIFE), LONG TERM CARE INSURANCE 5)HIGHLAND CAPITAL BROKERAGE; NOT INVESTMENT RELATED; 1003 BISHOP ST PUAHI TOWER HONOLULU, HI 96813; LIFE INSURANCE; INDEPENDENT AGENT; 05/06/2019; APPX 1 HR/MONTH; APPX 1 HR/MONTH DURING TRADING; HIGHLAND ASSISTS IN HELPING US FIND THE APPROPRIATE FIXED INSURANCE SOLUTIONS FOR CLIENTS. FIXED INSURANCE COULD INCLUDE TERM, GROUP TERM, CASH VALUE LIFE INSURANCE (NOT VARIABLE) LONG TERM CARE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-31 |
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