Alan Haruo Kodama

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
HI	RA	APPROVED	2021-07-08
TX	RA	APPROVED	2021-06-21

HI RA
APPROVED

Since 2021-07-08
TX RA
APPROVED

Since 2021-06-21

Branch Locations

1585 Kapiolani Blvd Ste 1775, Honolulu, HI 96814 • United States

4202 Rice St Ste 103, Lihue, HI 96766 • United States

127 Central Avenue, Wailuku, HI 96793 • United States

98-1247 Kaahumanu St Suite 219, Aiea, HI 96701 • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Honolulu	HI	09/2005	06/2021
Lpl Financial, Llc	Honolulu	HI	06/2021	Present

09/2005 → 06/2021

Ameriprise Financial Services, Inc.

Honolulu, HI
06/2021 → Present

Lpl Financial, Llc

Honolulu, HI

Previous Registrations

1987-10-16 → 2021-06-22

Ameriprise Financial Services, Llc

Honolulu, HI

Wailuku, HI

Lihue, HI

Aiea, HI

Other Businesses

1. 6/21/2021 - No Business Name - Investment Related - 4331 Kauai Beach Dr Lihue, HI 96766-8109; 98-1247 Kaahumanu St Aiea, HI 96701; and 127 Central Ave Wailuku, HI 96793-1704 - Real Estate Rental - Owner - Started 3/2011 - Time Spent 2%. 2. 6/21/2021 - PacStar Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1987.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-08-21

S63 Uniform Securities Agent State Law Examination

1987-08-21

Other Names

Al Kodama

View on SEC IAPD