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Neil Y. Nakagawa

THE PACIFIC FINANCIAL GROUP
NASHVILLE, TN 37212
Some features on this profile are disabled
CRD#: 2565291
NN

Professional summary

Neil Yukio Nakagawa, AIF® is a registered financial advisor currently at THE PACIFIC FINANCIAL GROUP, INC. located in Nashville, Tennessee.

Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Neil has worked at 8 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 22 and Series 31 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Yukio Nakagawa'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

August 12, 2015 - Present

THE PACIFIC FINANCIAL GROUP, INC.

Office #1: 1920 Adelicia Street Suite 500, Nashville, TN 37212
RIA
CRD#: 105203
NASHVILLE, TN
Past

June 4, 2013 - July 29, 2015

ANTHEM SECURITIES, INC.

BD
CRD#: 42420
PITTSBURGH, PA
Past

November 1, 2012 - June 27, 2013

ARQUE CAPITAL, LTD.

RIA
CRD#: 121192
SACRAMENTO, CA
Past

October 31, 2012 - June 27, 2013

ARQUE CAPITAL, LTD.

BD
CRD#: 121192
SCOTTSDALE, AZ
Past

January 4, 2008 - August 1, 2012

CYPRESS CAPITAL CORPORATION

BD
CRD#: 42618
SAN FRANCISCO, CA
Past

August 16, 2005 - December 21, 2007

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

February 26, 2001 - June 20, 2005

ATEL SECURITIES CORPORATION

BD
CRD#: 17229
SAN FRANCISCO, CA
Past

March 27, 1995 - November 29, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

February 2, 1995 - April 6, 1995

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, 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".
TP
THE PACIFIC FINANCIAL GROUP, INC.
GOLD STAR FINANCIAL | THE PACIFIC FINANCIAL GROUP, INC. | THE PACIFIC FINANCIAL GROUP | SERVE AND PROTECT FINANCIAL | PACIFIC FINANCIAL GROUP INC

CRD#: 105203 / SEC#: 801-18151

RIA
Registered Investment Advisory firm - (1/10/1983 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
(8/12/2015)
IAR
Washington
(12/6/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/27/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/16/2001
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/17/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/29/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/9/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 2/24/2001
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 4/24/1995
Futures Managed Funds Examination

Current Firm

TP
THE PACIFIC FINANCIAL GROUP, INC.
GOLD STAR FINANCIAL | THE PACIFIC FINANCIAL GROUP, INC. | THE PACIFIC FINANCIAL GROUP | SERVE AND PROTECT FINANCIAL | PACIFIC FINANCIAL GROUP INC

CRD#: 105203 / SEC#: 801-18151

RIA
Registered Investment Advisory firm - (1/10/1983 Approved)
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Contact information

Main Address
1920 Adelicia Street Suite 500, Nashville, TN 37212
Mailing Address
900 20th Avenue South Suite 500, Nashville, TN 37212
Phone number
(425) 451-7722
Established
Firm type
Fiscal year end
# of Employees
66

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TPFG.FORM ADV 2A.09.11.25.FINAL (9/11/2025)

Regulatory assets under management

Total Number of Accounts18,959
AUM (Assets Under Management)$ 4,111,414,788

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

THE PACIFIC FINANCIAL GROUP, INC.

CRD#: 105203Nashville, TN 37212

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