Kelly K. Arakaki
Professional summary
Kelly Kiyoshiro Arakaki, CFP® is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Kelly has worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Kiyoshiro Arakaki's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2015 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215January 14, 2015 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215April 27, 2010 - December 2, 2014
USAA FINANCIAL PLANNING SERVICES
April 13, 2010 - December 2, 2014
USAA FINANCIAL ADVISORS, INC.
December 5, 2006 - April 28, 2009
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
May 8, 2006 - November 28, 2006
MML INVESTORS SERVICES, LLC
April 25, 2006 - April 28, 2009
MML INVESTORS SERVICES, LLC
June 16, 2004 - January 18, 2006
MORNINGSTAR INVESTMENT SERVICES LLC
March 22, 2004 - January 18, 2006
MORNINGSTAR INVESTMENT SERVICES LLC
May 31, 2002 - December 31, 2003
TOWER SQUARE SECURITIES, INC.
August 24, 1999 - April 17, 2002
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 29, 1998 - May 10, 1999
VOYA INVESTMENTS DISTRIBUTOR, LLC
February 16, 1998 - August 5, 1998
NATIONAL PLANNING CORPORATION
August 1, 1996 - March 15, 1998
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
December 21, 1995 - August 1, 1996
NATIONAL PLANNING CORPORATION
December 7, 1994 - December 20, 1995
SUNAMERICA SECURITIES, INC.
February 25, 1993 - May 2, 1994
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/23/2015)
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(1/14/2015)
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(3/7/2024)
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(10/18/2019)
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(10/18/2019)
(1/21/2021)
(2/7/2024)
(1/14/2015)
(2/7/2024)
(6/24/2025)
(1/14/2015)
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(1/15/2015)
(1/14/2015)
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(1/3/2024)
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(1/3/2021)
(1/14/2015)
(1/14/2015)
(1/14/2015)
(2/7/2024)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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