Kainoa Broad

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
HI	RA	APPROVED	2026-01-05
AK	RA	APPROVED	2025-01-29
TX	RA	APPROVED_RES	2025-01-25

HI RA
APPROVED

Since 2026-01-05
AK RA
APPROVED

Since 2025-01-29
TX RA
APPROVED_RES

Since 2025-01-25

Branch Locations

Kaneohe, HI • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Anchorage, AK • United States

45-201 Nohonani Pl, Kaneohe, HI 96744 • 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
Trusted Advisors Group Hawaii	Kaneohe	HI	09/2018	Present
Northern Arizona University	Flagstaff	AZ	08/2015	05/2019
Sagepoint Finanical, Inc.	Kaneohe	HI	07/2019	01/2025
Osaic Wealth, Inc.	Kaneohe	HI	09/2023	01/2025
Lpl Financial	Kaneohe	HI	01/2025	Present

09/2018 → Present

Trusted Advisors Group Hawaii

Kaneohe, HI
08/2015 → 05/2019

Northern Arizona University

Flagstaff, AZ
07/2019 → 01/2025

Sagepoint Finanical, Inc.

Kaneohe, HI
09/2023 → 01/2025

Osaic Wealth, Inc.

Kaneohe, HI
01/2025 → Present

Lpl Financial

Kaneohe, HI

Previous Registrations

2023-09-01 → 2025-01-28

Osaic Wealth, Inc.

Kaneohe, HI
2020-01-27 → 2023-09-01

Osaic Services, Inc.

Kaneohe, HI

Other Businesses

1- 01/2025 / Trusted Advisors Group Hawaii, Inc. / DBA for LPL Business (entity for LPL business) / Inv Rltd / start 01/08/2019 2- 01/2025 / Insurance Sales / Non-Variable Insurance / Inv Rltd / 20 hrs mnth / start 09/01/2019 3- 01/2025 / AK907 Fitness / Business Owner / Non Inv Rltd / 5 hrs mnth / start 02/01/2021

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-01-24

S66 Uniform Combined State Law Examination

2020-01-24

View on SEC IAPD