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Colburn Y. Kuwata

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CRD#: 1387662
CK

Professional summary

Colburn Yoshitaka Kuwata was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Colburn is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Colburn had worked at 2 firms, which includes SUNSET FINANCIAL SERVICES INC., NEW ENGLAND SECURITIES.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 23, 1996 - February 19, 1999

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
KANSAS CITY, MO
Past

September 10, 1986 - May 23, 1996

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/6/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 9/6/1986
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SF
SUNSET FINANCIAL SERVICES, INC.
CHRISTOPHER HELLER | SUNSET FINANCIAL SERVICES, INC. | ROBERT MAKINEY | MICHAEL WALSH | KARIN RETTGER | JEFFREY GUNDERSON | DWAYNE KONICEK

CRD#: 3538 / SEC#: 801-71636, 8-14148

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
3520 Broadway, Kansas City, MO 64111
Mailing Address
P.o. Box 219365, Kansas City, MO 64121-9365
Phone number
(816) 753-7000
Established
Washington since 04/23/1964
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
KANSAS CITY LIFE INSURANCE COMPANY, INC.PARENT COMPANY - OWNER
ALVEY, DANIEL D'ANGELOFINOP8114927
BIXBY, ROBERT PHILIPDIRECTOR2109740
BIXBY, WALTER EDWIN IIIDIRECTOR2687392
BRANDT, JANICE LEEVICE PRESIDENT - CHIEF COMPLIANCE OFFICER BROKER/DEALER3232016
DENNEY, SUSANNA JAYNEVICE PRESIDENT - CHIEF OPERATIONS OFFICER2467520
LAIRD, DAVID ARNOLDDIRECTOR
MASON, ALAN CRAIG JRSECRETARY, DIRECTOR
MILTON, MARK ALANDIRECTOR2155553
NOGALSKI, JOHN LOUISVICE PRESIDENT, TAXES8083220
PEIL, KRISTEN MICHELLEAVP2438293
PIEPER, JENNIFER KAYVICE PRESIDENT, TREASURER & CONTROLLER7832157
ULLOM, KELLY TODDPRESIDENT / DIRECTOR1569201

Disclosures

Regulatory Event9
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

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