Hiroo D. Awano
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.
Hiroo Dickler Awano, who also goes by Hiroo Awano, was a registered financial professional .
Hiroo is a previously registered financial professional and started their career in finance in 1987. Hiroo had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2018 - May 1, 2019
CHATSWORTH SECURITIES LLC
January 17, 2014 - March 1, 2016
HOULIHAN LOKEY ADVISORS, LLC
May 1, 2006 - May 13, 2013
MARCO POLO SECURITIES INC.
December 21, 2001 - February 22, 2006
DAIWA CAPITAL MARKETS AMERICA INC.
July 24, 1992 - February 1, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 1987 - June 4, 1992
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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