SK
Stephen L. Kagawa
SYNDICATED CAPITAL
MONROVIA, CA 91016
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CRD#: 1530761
SK
Professional summary
Stephen Linkan Kagawa is a registered financial advisor currently at SYNDICATED CAPITAL, INC. located in Monrovia, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Stephen has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Linkan Kagawa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Linkan Kagawa'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
January 5, 2010 - Present
SYNDICATED CAPITAL, INC.
Office #1: 825 S Primrose Avenue Suite E, Monrovia, CA 91016Office #2: 1100 Alakea Street Suite 1901, Honolulu, HI 96813RIA
BD
CRD#: 29037
MONROVIA, CA
Current
January 4, 2010 - Present
SYNDICATED CAPITAL, INC.
Office #1: 825 S Primrose Avenue Suite E, Monrovia, CA 91016Office #2: 1100 Alakea Street Suite 1901, Honolulu, HI 96813RIA
BD
CRD#: 29037
MONROVIA, CA
Past
September 4, 2009 - December 31, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
MONROVIA, CA
Past
September 4, 2009 - December 31, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
MONROVIA, CA
Past
February 9, 2001 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
MONROVIA, CA
Past
June 3, 1999 - February 8, 2001
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
June 19, 1998 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
RIA
CRD#: 3600
MONROVIA, CA
Past
September 8, 1994 - July 23, 1999
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
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".
SC
SYNDICATED CAPITAL, INC.
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
RIA
Registered Investment Advisory firm - SEC (2/5/2024 Approved)California
Registered Investment Advisory firm - SEC (6/18/2009 Approved)Hawaii
Registered Investment Advisory firm - SEC (6/8/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (10/14/2020 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/7/2009 Approved)Ohio
Registered Investment Advisory firm - SEC (10/16/2012 Approved)Oregon
Registered Investment Advisory firm - SEC (6/22/2009 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/24/2011 Approved)Virginia
Registered Investment Advisory firm - SEC (7/16/2009 Approved)Washington
Registered Investment Advisory firm - SEC (1/11/2026 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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(1/4/2010)
IAR
California(1/5/2010)
RR
Hawaii(1/4/2010)
RR
Kentucky(5/17/2023)
RR
Maryland(1/27/2010)
RR
New York(1/27/2010)
RR
North Carolina(5/11/2022)
RR
Oregon(10/23/2023)
RR
Pennsylvania(7/27/2020)
RR
Texas(1/5/2022)
RR
Utah(1/27/2010)
RR
Virginia(1/27/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SYNDICATED CAPITAL, INC.
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
RIA
Registered Investment Advisory firm - SEC (2/5/2024 Approved)California
Registered Investment Advisory firm - SEC (6/18/2009 Approved)Hawaii
Registered Investment Advisory firm - SEC (6/8/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (10/14/2020 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/7/2009 Approved)Ohio
Registered Investment Advisory firm - SEC (10/16/2012 Approved)Oregon
Registered Investment Advisory firm - SEC (6/22/2009 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/24/2011 Approved)Virginia
Registered Investment Advisory firm - SEC (7/16/2009 Approved)Washington
Registered Investment Advisory firm - SEC (1/11/2026 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
PREMIUM
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Contact information
Main Address
21671 Gateway Center Drive Suite 111, Diamond Bar, CA 91765
Mailing Address
P. O. Box 274, Brea, CA 92822
Phone number
(310) 751-7098
Established
California since 02/24/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
12
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SC ADD HOLDINGS, LLC | OWNER | |
| BAINES AND MCADAMS LIVING TRUST | OWNER | |
| BAINES, HEATHER UNA | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 2173889 |
| LEE, FAITH | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 2715226 |
| MCADAMS, JOSEPH LLOYD JR | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 2173886 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 122,987,781 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
