Eugene S. Wakai
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eugene Shigeki Wakai, who also goes by Gene Shigeki Wakai, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1983. Eugene had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2012 - December 31, 2016
SILBER BENNETT FINANCIAL, INC.
November 6, 2012 - December 31, 2016
SILBER BENNETT FINANCIAL, INC.
May 3, 2010 - October 31, 2012
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
April 27, 2010 - October 31, 2012
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
March 4, 2008 - April 26, 2010
EMPIRE SECURITIES CORPORATION
June 29, 2007 - April 26, 2010
EMPIRE SECURITIES CORPORATION
August 16, 2006 - July 2, 2007
BROOKSTREET SECURITIES CORPORATION
August 14, 2006 - July 2, 2007
BROOKSTREET SECURITIES CORPORATION
October 9, 2001 - August 10, 2006
PRINCIPAL SECURITIES, INC.
April 8, 1983 - August 10, 2006
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SILBER BENNETT FINANCIAL, INC.
CRD#: 156435 / SEC#: , 8-68795
Contact information
Disclosures
| Regulatory Event | 1 |
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