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Ross Tatsuo Kumasaki

Cetera Investment Advisers LLC

Kahului, HI

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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 2024-03-28
  • HI RA
    APPROVED
    Since 2024-03-28

Branch Locations

14 Ho'oKele St. #230, 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
OrganizationCityStateFromTo
Lpl Financial Charlotte NC 02/2013 04/2017
American Savings Bank Miliani HI 02/2013 02/2020
Cetera Investment Services Llc St. Cloud MN 04/2017 02/2020
Cetera Investment Advisers Llc Haleiwa HI 12/2017 01/2018
Cetera Investment Advisers Llc Wahiawa HI 01/2018 02/2020
Cuso Financial Services, Lp San Diego CA 03/2020 03/2024
Hawaii State Federal Credit Union Honolulu HI 03/2020 Present
Cetera Investment Services Llc St Cloud MN 03/2024 Present
Cetera Investment Advisers Llc Mililani HI 03/2024 Present
  • 02/2013 → 04/2017
    Lpl Financial
    Charlotte, NC
  • 02/2013 → 02/2020
    American Savings Bank
    Miliani, HI
  • 04/2017 → 02/2020
    Cetera Investment Services Llc
    St. Cloud, MN
  • 12/2017 → 01/2018
    Cetera Investment Advisers Llc
    Haleiwa, HI
  • 01/2018 → 02/2020
    Cetera Investment Advisers Llc
    Wahiawa, HI
  • 03/2020 → 03/2024
    Cuso Financial Services, Lp
    San Diego, CA
  • 03/2020 → Present
    Hawaii State Federal Credit Union
    Honolulu, HI
  • 03/2024 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 03/2024 → Present
    Cetera Investment Advisers Llc
    Mililani, HI
Previous Registrations
  • 2020-03-23 → 2024-03-28
    Cuso Financial Services, L.P.
    Honolulu, HI
    San Diego, CA
    Mililani, HI
  • 2017-12-04 → 2020-02-18
    Cetera Investment Advisers Llc
    Haleiwa, HI
    Wahiawa, HI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-12-01
S63 Uniform Securities Agent State Law Examination 2010-12-30
  • S65 Uniform Investment Adviser Law Examination
    2017-12-01
  • S63 Uniform Securities Agent State Law Examination
    2010-12-30
Other Names
  • Ross T Kumasaki
  • Ross Tatsuo Kumasaki

View on SEC IAPD

Other Firms

MORGAN STANLEY
STIFEL, NICOLAUS & COMPANY, INCORPORATED
MERCER GLOBAL ADVISORS INC.
OSAIC WEALTH, INC.
COMMONWEALTH FINANCIAL NETWORK
PARK AVENUE SECURITIES LLC
THE RICE PARTNERSHIP, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

CLAIRE KIMIE IBARRA MIYASATO
JULIE SACHIKO PETRO
DAVID BRICE TOYOMURA
EMI MORI GEORGE
THOMAS JAMES LAMBERT
DOUGLAS H KARATSU
Tonya L Piano
BRYCE KOTARO THAYER

Other Offices

MORGAN STANLEY · KAHULUI, HI
STIFEL, NICOLAUS & COMPANY, INCORPORATED · KAHULUI, HI
MERCER GLOBAL ADVISORS INC. · Kahului, HI
OSAIC WEALTH, INC. · KAHULUI, HI
COMMONWEALTH FINANCIAL NETWORK · KAHULUI, HI
PARK AVENUE SECURITIES LLC · Kahului, HI
THE RICE PARTNERSHIP, LLC · KAHULUI, MAUI, HI
STATE FARM INVESTMENT MANAGEMENT CORP. · Kahului, HI

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