HS
Herbert S. Shiraishi
SHIRAISHI FINANCIAL GROUP ADVISORS
Honolulu, HI 96814
Some features on this profile are disabled
CRD#: 1835557
HS
Professional summary
Herbert Suekichi Shiraishi, who also goes by Herb Shiraishi, Herbert S Shiraishi, is a registered financial advisor currently at SHIRAISHI FINANCIAL GROUP ADVISORS located in Honolulu, Hawaii and INDEPENDENT FINANCIAL GROUP, LLC located in Hilo, Hawaii.
Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Herbert has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Herb Shiraishi | Herbert S Shiraishi
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) INSURANCE POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2000 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: 100% OWNER & HAWAII LICENSED INSURANCE AGENT OF SFG, LTD. OFFERING INSURANCE SALES AND SERVICES (2) SFGA LLC POSITION: Officer/Director NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 48 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2014 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: 100& OWNER & AGENT OF SFGA LLC, A SEC REGISTERED INVESTMENT ADVISOR (3) LANDLORD POSITION: Landlord NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2005 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: OWNER & LANDLORD OFFERING PROPERTY MANAGEMENT SERVICES (4) MEDICARE SPECIALIST PRESENTING TO POSITION: Officer/Director NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/07/2018 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: PARTNERSHIP WITH MEDICARE SPECIALIST PRESENTING TO CLIENTS
CRS (Client Relationship Summary) - RIA
Click below to view Herbert Suekichi Shiraishi'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 17, 2014 - Present
SHIRAISHI FINANCIAL GROUP ADVISORS
Office #1: 1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814RIA
CRD#: 168645
Honolulu, HI
Current
December 9, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 116 Hualalai Street #100, Hilo, HI 96720Office #2: 1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814RIA
BD
CRD#: 7717
Hilo, HI
Past
May 31, 2013 - November 13, 2014
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
HONOLULU, HI
Past
April 29, 2013 - December 9, 2016
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
HONOLULU, HI
Past
January 23, 2009 - May 9, 2013
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
HONOLULU, HI
Past
January 23, 2009 - May 9, 2013
SECURITIES AMERICA, INC.
BD
CRD#: 10205
HONOLULU, HI
Past
January 7, 2008 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
RIA
CRD#: 40395
HONOLULU, HI
Past
January 7, 2008 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
HONOLULU, HI
Past
March 12, 2001 - January 29, 2008
LPL FINANCIAL LLC
RIA
CRD#: 6413
HONOLULU, HI
Past
September 25, 2000 - January 29, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
HONOLULU, HI
Past
November 19, 1998 - September 28, 2000
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
October 15, 1993 - November 19, 1998
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
October 23, 1991 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
July 8, 1988 - February 11, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
July 8, 1988 - February 11, 1992
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
SF
SHIRAISHI FINANCIAL GROUP ADVISORS
SFGA LLC | SHIRAISHI FINANCIAL GROUP ADVISORS
CRD#: 168645 / SEC#: 801-107307
RIA
Registered Investment Advisory firm - (2/18/2016 Approved)California
Registered Investment Advisory firm - (3/27/2016 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2016 Terminated)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
Arizona(10/26/2022)
RR
California(12/9/2016)
RR
Colorado(6/23/2020)
IAR
Hawaii(1/17/2014)
RR
Hawaii(12/14/2016)
RR
Illinois(12/9/2016)
RR
Indiana(6/12/2023)
RR
Louisiana(9/27/2021)
RR
Michigan(12/9/2016)
RR
Nebraska(10/17/2022)
RR
Nevada(2/13/2017)
RR
North Carolina(12/9/2016)
RR
Ohio(4/9/2021)
RR
Oregon(12/19/2016)
RR
Texas(12/9/2016)
IAR
Texas(2/5/2020)
RR
Utah(12/9/2016)
RR
Virginia(12/9/2016)
RR
Washington(12/9/2016)
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
SF
SHIRAISHI FINANCIAL GROUP ADVISORS
SFGA LLC | SHIRAISHI FINANCIAL GROUP ADVISORS
CRD#: 168645 / SEC#: 801-107307
RIA
Registered Investment Advisory firm - (2/18/2016 Approved)California
Registered Investment Advisory firm - (3/27/2016 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2016 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814
Mailing Address
Phone number
(808) 951-7185
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,110 |
| AUM (Assets Under Management) | $ 117,832,162 |
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.
