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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2017-05-24
  • HI RA
    APPROVED
    Since 2017-05-24

Branch Locations

999 Bishop Street Suite 1850, 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Service,Inc Honolulu HI 05/2017 Present
Raymond James Financial Services Advisors Inc. Honolulu HI 05/2017 Present
First Hawaiian Bank Honolulu HI 08/2005 Present
Bancwest Investment Services Honolulu HI 11/2005 05/2017
  • 05/2017 → Present
    Raymond James Financial Service,Inc
    Honolulu, HI
  • 05/2017 → Present
    Honolulu, HI
  • 08/2005 → Present
    First Hawaiian Bank
    Honolulu, HI
  • 11/2005 → 05/2017
    Bancwest Investment Services
    Honolulu, HI
Previous Registrations
  • 2009-12-21 → 2017-05-02
    Bancwest Investment Services, Inc.
    Honolulu, HI
    Honolulu, HI
    Hilo, HI
    Kailua-Kona, HI
    Honolulu, HI
    Honolulu, HI
Other Businesses

(1) Name of Business: First Hawaiian Advisors Address: 999 Bishop St Ste 2800, Honolulu, HI, 96813, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/03/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Branch Manager (2) Name of Business: Rental Property Address: 3075 Hiehie Street, Honolulu, HI, 96822, United States Activity Type: Rental Real Estate Position/Title: Investment Related: Yes Start Date: 05/01/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: (3) Name of Business: Tottori Address: 3075 Hiehie Street, Honolulu, HI, 96822, United States Activity Type: Control Person Position/Title: Trustee (Acting) Investment Related: Yes Start Date: 08/08/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am the co-trustee on my wife's RLT. She is also a co-trustee on my RLT.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-24
S63 Uniform Securities Agent State Law Examination 1999-11-06
  • S66 Uniform Combined State Law Examination
    2002-01-24
  • S63 Uniform Securities Agent State Law Examination
    1999-11-06
Designations

View on SEC IAPD

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