Michael Henry Oshiro
Professional Summary
Michael Henry Oshiro is a registered financial advisor currently at CAPLINK SECURITIES, INC located in Hermosa Beach, California. Michael is registered as a RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
CAPLINK SECURITIES, INC | CENTARA CAPITAL SECURITIES, INC.
Contact Information
Main Address
1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266Mailing Address
1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266Phone Number
(310) 952-0987Established
California since 04/21/2003Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (25 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(4/15/2021)
(11/7/2013)
(3/8/2013)
(5/7/2015)
(5/6/2013)
(7/21/2021)
(4/26/2013)
(5/2/2013)
(4/23/2013)
(4/25/2013)
(5/2/2013)
(9/19/2014)
(5/2/2013)
(9/8/2014)
(4/7/2016)
(6/4/2013)
(3/8/2013)
(3/8/2013)
(3/16/2021)
(5/8/2013)
(4/25/2013)
(6/28/2024)
(4/15/2013)
(8/29/2014)
(4/9/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1992About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Henry Oshiro's CRS (Customer Relationship Summary).
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