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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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FF

Frederic S. Funakoshi

Some features on this profile are disabled
CRD#: 215801
FF

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.

Frederic S Funakoshi was a registered financial professional .

Frederic is a previously registered financial professional and started their career in finance in 1970. Frederic had worked at 2 firms and has passed the SIE exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 12, 1971 - November 21, 2016

H. KAWANO & CO., INC.

BD
CRD#: 377
LOS ANGELES, CA
Past

December 7, 1970 - April 4, 1971

GOODBODY & COMPANY INCORPORATED

BD
CRD#: 1000002

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 11/21/2016
Securities Industry Essentials Examination

Current Firm

HK
H. KAWANO & CO., INC.
H. KAWANO & CO., INC.

CRD#: 377 / SEC#: , 8-5156

BD
Terminated by SEC on 06/30/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Hawaii since 05/10/1956
Firm type
Corporation
Fiscal year end
April
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KAWANO, MELVIN HIDEOPRESIDENT, VICE PRESIDENT, SECRETARY, CEO, CCO, CFO, COO265488
KAWANO-CHING, CATHY M MRSDIRECTOR4805605

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.

Company Information

H. KAWANO & CO., INC.

CRD#: 377

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