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Dwayne Tsukasa Mukai

LPl Financial LLC

Hilo, HI

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-04-22
HI RA APPROVED 2006-06-26
  • TX RA
    APPROVED_RES
    Since 2016-04-22
  • HI RA
    APPROVED
    Since 2006-06-26

Branch Locations

100 Pauahi St. Ste 206, Hilo, HI 96720 • 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, Llc Hilo HI 06/2006 Present
Previous Registrations
  • 1999-11-30 → 2006-06-27
    Morgan Stanley Dw Inc.
    Hilo, HI
Other Businesses

(1) 06/13/2006: MUKAI INVESTMENT GROUP, LLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-21
S63 Uniform Securities Agent State Law Examination 1998-01-08
  • S65 Uniform Investment Adviser Law Examination
    1998-01-21
  • S63 Uniform Securities Agent State Law Examination
    1998-01-08
Other Names
  • Dwayne Tsukasa Mukai

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP.
DFG INVESTMENTS AND TAX LLC
MORGAN STANLEY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
COMMONWEALTH FINANCIAL NETWORK

Other Investors

BARRY KAU YANG MARK
JILL MARIE MARK
MICHAEL FUK HUNG CHANG
DAVID LEE HALL
MICHELLE MOANA VICTORINE
Elyse Fumie Robinson
IRIS HISAKO KUWAYE
Zachary Charles Debauche

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · HILO, HI
LPL FINANCIAL LLC · HILO, HI
PEAK PLANNING GROUP, LLC · Hilo, HI
EDWARD JONES · HILO, HI
STATE FARM INVESTMENT MANAGEMENT CORP. · Hilo, HI
DFG INVESTMENTS AND TAX LLC · HILO, HI
EDWARD JONES · HILO, HI
LPL FINANCIAL LLC · HILO, HI

More in Hilo, HI

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