Dennis K. Morihara
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.
Dennis Kazuo Morihara was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1991. Dennis had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2020 - May 26, 2023
MISSIONSQUARE RETIREMENT
May 27, 2020 - May 26, 2023
MISSIONSQUARE INVESTMENT SERVICES
May 6, 2008 - May 15, 2020
M&T SECURITIES, INC.
July 3, 2006 - May 15, 2020
M&T SECURITIES, INC.
October 28, 2005 - July 3, 2006
CITICORP INVESTMENT SERVICES
October 28, 2005 - July 3, 2006
CITICORP INVESTMENT SERVICES
June 2, 2005 - November 7, 2005
ALLSTATE FINANCIAL SERVICES, LLC
October 20, 2004 - April 25, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - April 25, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 3, 2004 - October 20, 2004
QUICK & REILLY, INC.
October 23, 2001 - October 20, 2004
QUICK & REILLY, INC.
January 5, 2000 - October 16, 2001
SCHNEIDER SECURITIES, INC.
September 29, 1999 - November 22, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 26, 1998 - July 27, 1999
CITICORP INVESTMENT SERVICES
June 11, 1991 - February 2, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
