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Randall T Kaya

Ubs Financial Services Inc.

Honolulu, HI

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-11-03
HI RA APPROVED 2008-12-12
  • CA RA
    APPROVED
    Since 2021-11-03
  • HI RA
    APPROVED
    Since 2008-12-12

Branch Locations

733 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
Ubs Financial Services Inc Honolulu HI 12/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-12-15
    Morgan Stanley & Co. Llc
    Honolulu, HI
  • 1994-07-21 → 2007-04-02
    Morgan Stanley Dw Inc.
    Honolulu, HI
    Honolulu, HI
Other Businesses

3-5K, INC.-1287 KALANI STREET, SUITE 206, HONOLULU, HI 96817-PRESIDENT-EFF: 2-1-09-3 HOURS PER MONTH-RETAIL SHOPPING CENTERS, REVIEW OPERATIONS./

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-04
S63 Uniform Securities Agent State Law Examination 1994-05-17
  • S65 Uniform Investment Adviser Law Examination
    1995-11-04
  • S63 Uniform Securities Agent State Law Examination
    1994-05-17
Other Names
  • Randall Tsugitoshi Kaya

View on SEC IAPD

Other Firms

REGENCY CAPITAL MANAGEMENT INC.
WEALTH ALIGNMENT PARTNERS, LLC
WELLS FARGO CLEARING SERVICES, LLC
DIVERSIFY ADVISORY SERVICES, LLC
CETERA INVESTMENT ADVISERS LLC
MML INVESTORS SERVICES, LLC
COMMONWEALTH FINANCIAL NETWORK
KINGSWOOD WEALTH ADVISORS, LLC

Other Investors

Kawika Shoji
GEORGE CHRISTIAN FLOAN HART
IAN YUEN YEE WONG
KELII JK KIAKONA
ERIC-ALLEN TSUTOMU CHING
JENNIFER LEE KUANONI
TYLER YOSHIO TAKAHATA
CHASE SANTOS

Other Offices

REGENCY CAPITAL MANAGEMENT INC. · HONOLULU, HI
WEALTH ALIGNMENT PARTNERS, LLC · HONOLULU, HI
WELLS FARGO CLEARING SERVICES, LLC · HONOLULU, HI
DIVERSIFY ADVISORY SERVICES, LLC · Honolulu, HI
DIVERSIFY ADVISORY SERVICES, LLC · HONOLULU, HI
CETERA INVESTMENT ADVISERS LLC · HONOLULU, HI
MML INVESTORS SERVICES, LLC · HONOLULU, HI
COMMONWEALTH FINANCIAL NETWORK · Honolulu, HI

More in Honolulu, HI

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