Austin Kealiiomaluhia Brock

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
HI	RA	APPROVED	2021-09-14

HI RA
APPROVED

Since 2021-09-14

Branch Locations

27 Market Street, Wailuku, HI 96796 • United States

41 East Lipoa St #28, Kihei, HI 96753 • United States

67 Makawao Ave, Pukalani, HI 96768 • United States

4405 Honoapiilani Hwy Sute 205, Lahaina, HI 96761 • United States

1221 Honoapiilani High Suite A3, Lahaina, HI 96761 • United States

20 W. Kaahumanu Ave, Kahului, HI 96732 • 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

Organization	City	State	From	To
University Of Hawaii	Honolulu	HI	08/2016	05/2020
Hawaii Kai Golf Course	Honolulu	HI	03/2015	05/2020
First Hawaiian Bank	Kahului	HI	05/2020	Present
Raymond James Financial Services Inc	Kahului	HI	05/2021	Present
Raymond James Financial Services Advisors	Kahului	HI	09/2021	Present
First Hawaiian Advisors Dba	Kahului	HI	06/2020	Present

08/2016 → 05/2020

University Of Hawaii

Honolulu, HI
03/2015 → 05/2020

Hawaii Kai Golf Course

Honolulu, HI
05/2020 → Present

First Hawaiian Bank

Kahului, HI
05/2021 → Present

Raymond James Financial Services Inc

Kahului, HI
09/2021 → Present

Raymond James Financial Services Advisors

Kahului, HI
06/2020 → Present

First Hawaiian Advisors Dba

Kahului, HI

Other Businesses

(1)Name of Business: First Hawaiian Advisors DBA Address: 20 W. Kaahumanu Ave., Kahului, HI, 96732, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 06/02/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Provide investment and financial services to new and existing clients using the Raymond James platform. Servicing existing client accounts and needs.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-09-11

S66 Uniform Combined State Law Examination

2021-09-11

View on SEC IAPD