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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2023-06-29
  • HI RA
    APPROVED
    Since 2023-06-29

Branch Locations

745 Fort Street 1614, Honolulu, HI 96813 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Vsr Financial Services, Inc. Overland Park KS 12/2015 09/2016
Vsr Advisory Services Overland Park KS 12/2015 09/2016
Hawaii Financial Advisors, Inc. Honolulu HI 12/2015 Present
Summit Brokerage Services, Inc. Honolulu HI 09/2016 09/2019
Cetera Wealth Services, Llc El Segundo CA 09/2019 Present
Summit Financial Group El Segundo CA 09/2016 05/2021
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Cetera Advisor Networks Llc El Segundo CA 05/2021 06/2023
  • 12/2015 → 09/2016
    Vsr Financial Services, Inc.
    Overland Park, KS
  • 12/2015 → 09/2016
    Vsr Advisory Services
    Overland Park, KS
  • 12/2015 → Present
    Hawaii Financial Advisors, Inc.
    Honolulu, HI
  • 09/2016 → 09/2019
    Summit Brokerage Services, Inc.
    Honolulu, HI
  • 09/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 09/2016 → 05/2021
    Summit Financial Group
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 05/2021 → 06/2023
    Cetera Advisor Networks Llc
    El Segundo, CA
Previous Registrations
  • 2016-09-02 → 2021-05-20
    Summit Financial Group Inc
    Honolulu, HI
  • 2016-09-02 → 2016-11-02
    Vsr Financial Services, Inc.
    Honolulu, HI
    Overland Park, KS
  • 2015-12-16 → 2016-09-01
    Vsr Financial Services, Inc.
    Overland Park, KS
    Honolulu, HI
  • 2014-07-14 → 2015-12-28
    Honolulu, HI
    Hilo, HI
    Honolulu, HI
    Honolulu, HI
    Honolulu, HI
    Honolulu, HI
    Kapolei, HI
    Honolulu, HI
Other Businesses

(1) Melaleuca, Inc; Non Investment related; Start Date 08/01/2012; 4609 West 65th South, Idaho Falls ID 83402; Wellness Advocate; Share company and products with others and enroll interested members; 2 Hours a month 0 during trading (2) Hawaii Financial Advisors, Inc; DBA name; Investment related; Start Date 12/15/2015; Address same as branch; 160 Hours a month 2 during trading (3) doTerra International, LLC; Non Investment related; Start Date 09/30/2016; 389 South 1300 West, Pleasant Grove UT 84062; Wellness Advocate; Share company and products with others and enroll interested members; 15 Hours a month 0 during trading; (4) Kalihi YMCA; Not investment related; 1335 Kalihi St., Honolulu, HI 96819; Charity/Non-profit; Member-Board of Managers; Started 11/1/2017; Apx. 8 hours/month, none during trading; Attend monthly Board of Managers meetings and support YMCA (Kalihi Branch) initiatives through volunteerism in community outreach programs and services centered around three areas of focus: Youth Development, Healthy Living and Social Responsibility. (5) Highland Capital Brokerage; Investment related; 1003 Bishop St Suite 850, Honolulu, HI 96813; Life insurance; Independent agent; Started 12/7/2017; Apx. 10-15 hours/month, apx. 1-5 during trading; Highland Capital assists agents in finding appropriate fixed insurance solutions for clients. Fixed insurance could include term insurance group term insurance, cash value insurance (not including variable life), and long-term care. (6) Rental property; Not investment related; 2087 N St Bonita Ln, Casa Grande, AZ 85122; Owner; Started 8/15/2007; Apx 1 hour/month, none during trading; Property is managed by a property management company. My involvement is minimal; authorization required for repairs costing $200 or more. (7)BNI HAWAII KAO CHAPTER; NOT INVESTMENT RELATED; 436 KEOLU DR KAILUA, HI 96734; BUSINESS NETWORKING ORGANIZATION; PRESIDENT; 11/01/2017; APPX 16 HOURS/MONTH; APPX 8 HOURS/MONTH DURING TRADING; Manage weekly meetings following BNI Agenda, Chair Leadership Team meetings, manage member roles and responsibilities, announce networking events, ensure BNI policies and procedures are followed, manage member conflicts. (8) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 9/2020; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-11-20
S63 Uniform Securities Agent State Law Examination 2006-06-23
  • S65 Uniform Investment Adviser Law Examination
    2013-11-20
  • S63 Uniform Securities Agent State Law Examination
    2006-06-23
Other Names
  • Mieko Printers

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