Robert Y. Fukunaga
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.
Robert Yoshio Fukunaga, who also goes by Bob Fukunaga, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1965. Robert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2009 - March 31, 2015
REGAL SECURITIES, INC.
July 13, 2007 - September 11, 2009
CENTAURUS FINANCIAL, INC.
July 13, 2007 - September 11, 2009
CENTAURUS FINANCIAL, INC.
June 27, 2007 - July 16, 2007
WEDBUSH SECURITIES INC.
June 27, 2007 - July 16, 2007
WEDBUSH SECURITIES INC.
September 8, 2004 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
August 22, 2003 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
May 28, 2002 - September 2, 2003
RBC CAPITAL MARKETS, LLC
March 9, 2002 - September 2, 2003
RBC CAPITAL MARKETS, LLC
November 4, 1998 - March 9, 2002
SUTRO & CO. INCORPORATED
May 29, 1984 - November 3, 1998
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - June 19, 1984
UBS FINANCIAL SERVICES INC.
April 1, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 15, 1965 - January 21, 1973
PUTNAM FUND DISTRIBUTORS, 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
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 9/13/1965
Registered Representative ExaminationSeries 8
Date: 6/14/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
