Paul S. Okawa

MODERN WEALTH MANAGEMENT

CALABASAS, CA 91301

Some features on this profile are disabled

CRD#: 2466447

Professional summary

Paul Sueyuki Okawa, CFA is a registered financial advisor currently at MODERN WEALTH MANAGEMENT, LLC located in Calabasas, California.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Paul has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

INSURANCE PRODUCER, CALABASAS, CA; NON INVESTMENT RELATED; LIFE AND HEALTH INSURANCE AGENT; LIFE, DISABILITY, LTC, FIXED PRODUCTS; DEVOTE VARIOUS HOURS/MONTH AS REQUIRED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Sueyuki Okawa's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

April 11, 2025 - Present

MODERN WEALTH MANAGEMENT, LLC

Office #1: 27001 Agoura Road Suite 150, Calabasas, CA 91301

RIA

CRD#: 324624

CALABASAS, CA

Past

May 16, 2019 - April 15, 2025

M. S. HOWELLS & CO.

CRD#: 104100

CALABASAS, CA

Past

April 28, 2010 - October 20, 2015

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

CALABASAS, CA

Past

April 28, 2010 - May 16, 2019

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

CALABASAS, CA

Past

February 8, 2010 - April 29, 2025

PLANNED ASSET MANAGEMENT

RIA

CRD#: 105986

CALABASS, CA

Past

December 1, 2005 - April 29, 2010

AFA ADVISOR SERVICES LLC

RIA

CRD#: 129104

CALABASAS, CA

Past

October 29, 2003 - April 29, 2010

AFA FINANCIAL GROUP, LLC

CRD#: 127648

CALABASAS, CA

Past

November 7, 2002 - April 29, 2025

QUANTITATIVE STRATEGIES, INC.

RIA

CRD#: 117908

CALABASAS, CA

Past

November 16, 1998 - November 4, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

July 8, 1997 - December 31, 2009

PLANNED ASSET MANAGEMENT

RIA

CRD#: 105986

CALABASAS, CA

Past

October 16, 1996 - November 16, 1998

UNITED PACIFIC SECURITIES, INC.

CRD#: 21986

CARLSBAD, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MODERN WEALTH MANAGEMENT, LLC

MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA

Registered Investment Advisory firm - (5/2/2023 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/11/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/15/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/25/2004

General Securities Principal Examination

Current Firm

MODERN WEALTH MANAGEMENT, LLC

MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA

Registered Investment Advisory firm - (5/2/2023 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

13550 W 95th St., Lenexa, KS 66227

Mailing Address

Phone number

(913) 393-1000

Established

Firm type

Fiscal year end

# of Employees

150

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	18,823
AUM (Assets Under Management)	$ 6,148,915,787

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.

Similar Advisors

Hatem Dhiab

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

IAR

SANTA MONICA, CA

Sean Leonard

WELLS FARGO CLEARING SERVICES, LLC

IAR

Camarillo, CA

Tania Mansouri

J.P. MORGAN SECURITIES LLC

Encino, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul S. Okawa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Sueyuki Okawa's CRS (Customer Relationship Summary).

Certified licenses

Experience

M. S. HOWELLS & CO.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

PLANNED ASSET MANAGEMENT

AFA ADVISOR SERVICES LLC

AFA FINANCIAL GROUP, LLC

QUANTITATIVE STRATEGIES, INC.

SENTRA SECURITIES CORPORATION

PLANNED ASSET MANAGEMENT

UNITED PACIFIC SECURITIES, INC.

Primary Firm SEC Registration

MODERN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/15/1994

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1994

Series 24

Date: 2/25/2004

Current Firm

MODERN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors