Eiichiro Kuwana
Professional Summary
Eiichiro Kuwana is a registered financial advisor currently at COOK PINE SECURITIES LLC located in Greenwich, Connecticut. Eiichiro is registered as a RR (Registered Representative) and started their career in finance in 1992. Eiichiro has worked at 2 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 79, Series 7, Series 3, Series 24, Series 14 and Series 8 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 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
COOK PINE SECURITIES LLC
Contact Information
Main Address
2 Sound View Drive 2nd Floor, Greenwich, CT 06830Mailing Address
2 Sound View Drive 2nd Floor, Greenwich, CT 06830Phone Number
(203) 861-2938Established
Delaware since 09/22/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IRREVOCABLE TRUST FOR DESCENDANTS OF EIICHIRO KUWANA | OWNER | — |
| KUWANA, EIICHIRO | CEO/CCO | — |
| KUWANA, YUMI MERA | PRESIDENT | — |
| GENDRON, KAREN MARIE | CFO/FINOP | 1503330 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(3/12/2013)
(3/20/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Oct 2012About the Series 79 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1996SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Eiichiro Kuwana's CRS (Customer Relationship Summary).
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