RO
Ronald M. Ogawa
CETERA INVESTMENT ADVISERS LLC
HONOLULU, HI 96813
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CRD#: 1448336
RO
Professional summary
Ronald Michio Ogawa is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Honolulu, Hawaii and CETERA WEALTH SERVICES, LLC located in Concord, California.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Ronald has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED: YES,
POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE,
BRIEF DESCRIPTION OF DUTIES: LIFE;
2. NAME OF OTHER BUSINESS: HTO LAUIKI LLC,
INVESTMENT RELATED: NO,
ADDRESS: 3370 KEAHI ST, HONOLULU, HI 96822,
NATURE OF BUSINESS: APARTMENT RENTALS,
POSITION/TITLE/RELATIONSHIP: MANAGER, CO-OWNER,
START DATE: 1/2007
APX NUMBER OF HOURS PER MONTH: 1-4,
BRIEF DESCRIPTION OF DUTIES: MANAGER DUTIES, RECORD KEEPING;
3. NAME OF OTHER BUSINESS: TOH WAIALAE LLC,
INVESTMENT RELATED: NO,
ADDRESS: 3370 KEAHI ST, HONOLULU, HI 96822,
NATURE OF BUSINESS: COMMERCIAL PROPERTY RENTAL,
POSITION/TITLE/RELATIONSHIP: MANAGER, CO-OWNER,
START DATE: 1/2007
APX NUMBER OF HOURS PER MONTH: 1-4,
BRIEF DESCRIPTION OF DUTIES: MANAGER DUTIES, RECORD KEEPING
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Michio Ogawa's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1100 Alakea St Ste 2400, Honolulu, HI 96813Office #2: 1390 Willow Pass Rd Ste 900, Concord, CA 94520RIA
CRD#: 105644
HONOLULU, HI
Current
March 27, 1987 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520BD
CRD#: 13572
Concord, CA
Past
February 15, 2000 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
HONOLULU, HI
Past
February 14, 1986 - April 22, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(3/31/1987)
IAR
California(6/29/2023)
RR
Hawaii(1/12/1989)
IAR
Hawaii(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
