Colin K. Watanabe
Professional summary
Colin Kazuo Watanabe, who also goes by Colin Kazuo Wantanabe, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Honolulu, Hawaii.
Colin is registered as a RR (Registered Representative) and started their career in finance in 1984. Colin has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Colin Kazuo Watanabe's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 1001 Bishop Street #1530, Honolulu, HI 96813November 22, 1989 - July 22, 2022
NATIONAL SECURITIES CORPORATION
December 13, 1988 - November 29, 1989
MARSHALL DAVIS, INC.
November 10, 1987 - December 20, 1988
FITZGERALD, TALMAN, INC.
July 1, 1986 - November 20, 1987
ROYCE PARK INVESTMENTS, INC.
December 26, 1984 - July 16, 1986
AMERICAN FRONTEER FINANCIAL CORPORATION
February 7, 1984 - October 30, 1985
CHESLEY AND DUNN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/22/2022)
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(7/22/2022)
(7/22/2022)
(3/8/2024)
(7/22/2022)
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(7/22/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
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