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1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2014-02-25 |
Branch Locations
1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sfg, Ltd | Honolulu | HI | 04/2006 | Present |
| United Planners' Financial Services | Scottsdale | AZ | 05/2013 | 12/2016 |
| Shiraishi Financial Group Advisors | Honolulu | HI | 02/2014 | Present |
| Independent Financial Group, Llc | Honolulu | HI | 12/2016 | Present |
(1) SHIRAISHI FINANCIAL GROUP ADVISORS AKA SFGA POSITION: Agent/Representative NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 02/25/2014 ADDRESS: 1357 Kapioloani Blvd #1140, Honolulu HI 96814, United States DESCRIPTION: IAR AT SEC REGISTERED INVESTMENT ADVISOR OFFERING ADVISORY SERVICES (2) SHIRAISHI FINANCIAL GROUP POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 12 START DATE: 04/03/2006 ADDRESS: 1357 Kapioloani Blvd #1140, Honolulu HI 96814, United States DESCRIPTION: Registered Representative and IAR at DBA used to market securities and advisory business. (3) SFG LTD POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/03/2012 ADDRESS: 1357 Kapioloani Blvd #1140, Honolulu HI 96814, United States DESCRIPTION: Insurance agent offering various types of insurance products. (4) WAYNE AND GERI LAU POSITION: Agent/Representative NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/10/2024 ADDRESS: 1357 Kapiolani Blvd, Ste 1140, Honolulu HI 96814, United States DESCRIPTION: Assist with personal financial matters THE GRANT AND AIMEE ARITA JOINT TRUST DTD 9/9/19 POSITION: Grantor/Trustee NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/19/2019 ADDRESS: 1357 Kapiolani Blvd, Ste 1140, Honolulu HI 96814, United States DESCRIPTION: Grantor trustee of personal joint trust
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-07-11 |
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