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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-30
HI RA APPROVED 2015-10-05
  • TX RA
    APPROVED_RES
    Since 2019-01-30
  • HI RA
    APPROVED
    Since 2015-10-05

Branch Locations

1003 Bishop St, Honolulu, HI 96813 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Honolulu HI 06/2015 Present
Bank Of America, N.A. Honolulu HI 11/2015 Present
Other Businesses

I*124841For profit or not for profit: Non-Profit OrganizationName of outside business organization: Foundation for Maryknoll SchoolInvestment related: NoAddress of business: Honolulu, Hawaii 96822Nature of business: Charitable OrganizationPosition, title, association: Advisory Board Member Start date of relationship: 8/1/2019Number of hours devoted: 2 hours QuarterlyNumber of hours devoted during trading hours: 0Duties: The purpose is to provide financial oversight of the educational activities and programs for Maryknoll School which is a Catholic school located in Honolulu, Hawaii. My responsibility is to serve as a board director.I*: 2168296Entity Type: Rental Property Name of OBA: Rental Property 1Address: Pearl City, HI 96782Investment Related: NoPosition, Title, Association: Sole owner Employee Start Date: 1/20/2025Number of Hours: 1 hr mthlyNumber of Hours during trading: 0Duties: Sole owner rental propertyI*: 2412292Entity Type: Name of OBA: OCC Thursday Club Address: Honolulu, HI 96817Investment Related: NoPosition, Title, Association: OfficerEmployee Start Date: 06/01/2025Number of Hours: 1 hr mthlyNumber of Hours during trading: 0Duties: OCC Thursday Club is a social golf club with an affiliation to Oahu Country Club. There are approximately 40 members in the golf club and the members gather every other first Thursday of the month for a golf and dinner outing. There are 6 golf outings a year and after each round is a dinner event held at a restaurant. Each member has to pay for the 6 dinners up front at the beginning of the year as part of the club dues. I have been asked to serve as president which primary duty is communicating to the members the dinner event details such as date, time, location and assist with the golf tee time reservation and golf group pairings. As president I would be considered an authorized signer on a checking account however I would not be signing checks or having access to an atm card as that is the treasurer's responsibility. There are no investments or other financial responsibilities for the president role. I*4421277 Entity Type: N/A Name of OBA: K I H TTEE S A H TTEE U/A DTD 10/05/2022 Address: Honolulu, Hawaii, 96822 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 10/05/2022 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Self, spouse

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-02
  • S66 Uniform Combined State Law Examination
    2015-10-02
Other Names
  • Kevin I Higa

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