Jerry K. Kishiyama
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.
Jerry Kenji Kishiyama was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1983. Jerry had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2001 - August 18, 2017
FINANCIAL WEST GROUP
December 10, 1996 - October 12, 2001
INTERPACIFIC INVESTORS SERVICES, INC.
June 23, 1988 - December 31, 1995
CETERA ADVISORS LLC
August 12, 1987 - July 9, 1988
J. B. STERLING CORP. (INVESTMENT SECURITIES)
November 23, 1983 - August 25, 1987
WADDELL & REED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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