Carlton Ken Gushiken

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2009 → Present
  Lpl Financial Llc
  Honolulu, HI

Previous Registrations

• 2009-01-02 → 2009-10-13
  Associated Planners Investment Advisory Inc
  Boston, MA
• 2009-01-02 → 2009-09-08
  Associated Securities Corp.
  Honolulu, HI
  San Mateo, CA
• 2003-01-31 → 2008-12-31
  Fsc Securities Corporation
  Honolulu, HI
  Honolulu, HI
  Honolulu, HI

Other Businesses

1. 4/7/1200 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - LTC, FIXED ANNUITIES, TERM, FIXED UL AND HEALTH. 2. 10/06/2022 - Hawaii Development Realty, Inc. - Not Investment Related - Hon., HI 96819 - Mortgage/Real Estate Services - Real Estate Broker - Start Date - 11/07/1989 - 40 Hours Per Month/10 Hours During Securities Trading 3. 1/26/2023 - Carlton K Gushiken - Investment Related - Home Based - Mortgage/Real Estate Services - Sole Propreitor - Start Date - 12/05/2022 - 24 Hours Per Month/4 Hours During Securities Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-12-11
• S63 Uniform Securities Agent State Law Examination
  1985-09-07