JK
John K. Kwee
DIVERSIFY ADVISORY SERVICES
Honolulu, HI 96813
Some features on this profile are disabled
CRD#: 1531077
JK
Professional summary
John Kiem Liong Kwee, AIF®, CFP®, who also goes by John K L Kwee, John Kiemliong Kwee, is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in Honolulu, Hawaii and DFPG INVESTMENTS, LLC located in Honolulu, Hawaii.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. John has worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John K L Kwee | John Kiemliong Kwee
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) INPAC WEALTH SOLUTIONS POSITION: Agent NATURE: sole proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 1001 Bishop 2300, Honolulu HI 96813, United States DESCRIPTION: life insurance need analysis as part of an overall financial planning 2) DIVERSIFY ADVISORY SERVICES, LLC (RIA); INVESTMENT RELATED; 1001 BISHOP STREET SUITE 2300, HONOLULU, HI 96813; INVESTMENT ADVISORY REP; SINCE 05/01/2013; 20-HRS/MTH; 20 DURING SECURITY HOURS; WORK WITH CLIENTS ON INVESTMENT ADVICE. 3)
CRS (Client Relationship Summary) - RIA
Click below to view John Kiem Liong Kwee'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®
CFP®
Start date: 1992
Experience
Current
November 30, 2023 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 1001 Bishop Street, Suite 2300, Honolulu, HI 96813RIA
CRD#: 326060
Honolulu, HI
Current
November 17, 2023 - Present
DFPG INVESTMENTS, LLC
Office #1: 745 Fort Street Mall Suite 888, Honolulu, HI 96813BD
CRD#: 155576
Honolulu, HI
Past
November 17, 2023 - November 20, 2023
DIVERSIFY ADVISORY SERVICES, LLC
RIA
CRD#: 326060
SANDY, UT
Past
September 1, 2023 - November 29, 2023
OSAIC WEALTH, INC.
RIA
CRD#: 23131
HILO, HI
Past
September 1, 2023 - November 29, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
HILO, HI
Past
February 19, 2015 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
HONOLULU, HI
Past
December 17, 2014 - December 17, 2014
OSAIC SERVICES, INC.
RIA
CRD#: 133763
HONOLULU, HI
Past
December 1, 2014 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
HONOLULU, HI
Past
July 19, 2010 - December 10, 2014
SYNDICATED CAPITAL, INC.
RIA
CRD#: 29037
HONOLULU, HI
Past
January 4, 2010 - December 10, 2014
SYNDICATED CAPITAL, INC.
BD
CRD#: 29037
HONOLULU, HI
Past
September 4, 2009 - December 31, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
HONOLULU, HI
Past
April 14, 2009 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
HONOLULU, HI
Past
May 12, 2008 - January 13, 2009
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
December 5, 2006 - May 6, 2008
TRANSAMERICA FINANCIAL ADVISORS, INC.
RIA
CRD#: 3600
HONOLULU, HI
Past
September 26, 2006 - May 6, 2008
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
HONOLULU, HI
Past
September 24, 2002 - August 1, 2006
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
HILO, HI
Past
March 29, 1999 - August 1, 2006
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
HILO, HI
Past
February 22, 1999 - April 6, 1999
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
CAMARILLO, CA
Past
August 13, 1997 - February 22, 1999
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
May 26, 1988 - August 13, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
December 12, 1986 - June 21, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
December 12, 1986 - June 28, 1988
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 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(11/17/2023)
RR
Hawaii(11/30/2023)
IAR
Hawaii(11/30/2023)
RR
Nevada(11/17/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
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Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
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.
