Larry K. Uyeno
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Larry Kanji Uyeno was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1995. Larry had worked at 11 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2017 - March 15, 2022
401K ASSIST, LLC
January 7, 2011 - April 10, 2017
STADION MONEY MANAGEMENT, LLC
November 26, 2009 - October 6, 2010
COMMONWEALTH FINANCIAL NETWORK
November 24, 2009 - October 6, 2010
COMMONWEALTH FINANCIAL NETWORK
January 21, 2009 - March 26, 2010
AU ADVISORS, INC.
April 15, 2008 - May 30, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 14, 2005 - May 30, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 3, 2003 - November 9, 2005
DWS DISTRIBUTORS, INC.
August 26, 2003 - November 6, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
February 6, 2002 - September 19, 2002
THE LEADERS GROUP, INC.
January 3, 2000 - December 31, 2001
THE LEADERS GROUP, INC.
February 12, 1997 - March 3, 1999
MONY SECURITIES CORPORATION
March 31, 1995 - August 31, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 31, 1995 - August 31, 1995
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
401K ASSIST, LLC
CRD#: 289562 / SEC#:
Contact information
Red Flags
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