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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2025-04-16 |
| TX | RA | APPROVED | 2025-04-16 |
Branch Locations
173 Hoohana Street Suite 202, Kahului, HI 96732 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities Inc | Honolulu | HI | 06/1999 | 04/2025 |
| Principal Life Insurance Co | Kahului | HI | 06/1999 | Present |
| Maui Financial Group | Kahului | HI | 01/2019 | Present |
| Osaic Wealth, Inc | Kahului | HI | 02/2025 | Present |
1. Maui Financial Group LLC; Not Investment Related; Kahului, HI; Owner; LLC for DBA name, sole owner 100%; Start Date: 01/01/2019; na hrs per month; 120 during trading hours. 2. MAUI FINANCIAL GROUP POSITION: Relationship Manager NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 12/01/1980 ADDRESS: 173 Hoohana St., Suite 202, Kahului HI 96732, United States DESCRIPTION: Recommending fixed insurance products and managing customer relationships 3. SPOTTED BUGS LLC POSITION: member NATURE: Duel Member LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/14/2017 ADDRESS: P.O. Box 6059, Kahului HI 96733, United States DESCRIPTION: Manage & oversee retail sales and inventory
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 1982-04-20 |
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