Mark K. Iwamoto

APRIEM ADVISORS

Irvine, CA 92612

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CRD#: 1503317

Professional summary

Mark Keizo Iwamoto is a registered financial advisor currently at APRIEM ADVISORS located in Irvine, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Mark has worked at 9 firms and has passed the Series 63, Series 7 and Series 8 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.

Independent insurance agent for Apriem Insurance Services, not investment related, Irvine, CA, insurance, agent, started 3/2003, 1 hour/month, 0 hours during trading hours, advises on insurance questions, sells insurance and insurance renewals.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Keizo Iwamoto's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 15, 1998 - Present

APRIEM ADVISORS

Office #1: 19200 Von Karman Avenue Suite 1050, Irvine, CA 92612

RIA

CRD#: 108188

Irvine, CA

Past

March 6, 2003 - November 19, 2009

DOLPHIN SECURITIES, INC.

CRD#: 10525

IRVINE, CA

Past

May 6, 1998 - March 4, 2003

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

February 9, 1998 - May 15, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

February 9, 1998 - May 15, 1998

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

August 26, 1995 - November 19, 1996

INTERNATIONAL SECURITIES GROUP, INC.

CRD#: 22513

SAN DIEGO, CA

Past

June 19, 1989 - August 8, 1996

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 21, 1988 - April 27, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 23, 1986 - September 30, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

APRIEM ADVISORS

APRIEM ADVISORS | IWAMOTO, KONG & CO., INC. | IWAMOTO KONG WEALTH MANAGEMENT GROUP | IWAMOTO KONG & CO INC | IWAMOTO KONG

CRD#: 108188 / SEC#: 801-55371

RIA

Registered Investment Advisory firm - (3/20/1998 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.

Highlighted states indicate IAR registrations

IAR

California
(4/15/1998)

IAR

Texas
(10/29/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/27/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 12/20/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

APRIEM ADVISORS

APRIEM ADVISORS | IWAMOTO, KONG & CO., INC. | IWAMOTO KONG WEALTH MANAGEMENT GROUP | IWAMOTO KONG & CO INC | IWAMOTO KONG

CRD#: 108188 / SEC#: 801-55371

RIA

Registered Investment Advisory firm - (3/20/1998 Approved)

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Contact information

Main Address

19200 Von Karman Avenue Suite 1050, Irvine, CA 92612

Mailing Address

Phone number

(949) 253-8888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APRIEM ADVISORS FORM ADV PART 2 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,597
AUM (Assets Under Management)	$ 1,229,145,243

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.

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Advisor Monitoring

Firm Stability Insights

Mark K. Iwamoto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Keizo Iwamoto's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOLPHIN SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

INTERNATIONAL SECURITIES GROUP, INC.

FIDELITY BROKERAGE SERVICES LLC

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

APRIEM ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/1988

Series 7

Date: 5/17/1986

Series 8

Date: 12/20/1994

Current Firm

APRIEM ADVISORS

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APRIEM ADVISORS

TRUST BUT VERIFY

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