Ken Okada
Professional summary
Ken Okada was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ken is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Ken had worked at 3 firms, which includes CATHAY FINANCIAL INC, AVIAN SECURITIES LLC, J.P. MORGAN SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2005 - March 6, 2007
CATHAY FINANCIAL INC
January 12, 2004 - July 21, 2005
AVIAN SECURITIES, LLC
May 14, 2001 - January 23, 2004
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
CATHAY FINANCIAL INC
CRD#: 30065 / SEC#: , 8-44719
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOEI, BERNARD JR | PRESIDENT & SHAREHOLDER | 863856 |
| JOEI TRUST | SHAREHOLDER | |
| WANG JOEI, LAVINIA | SHAREHOLDER | 2256363 |
| UENG, MEI HUI | SHAREHOLDER | 2228091 |
| BLACKMORE, KIMBERLY LYNN | CONTROLLER | 2219307 |
| BLACKMORE, KIMBERLY LYNN | CHIEF COMPLIANCE OFFICER | 2219307 |
| TURCHIANO, JOSEPH MARTIN | OPERATIONS MANAGER/CROP/SROP | 1880437 |
Disclosures
| Regulatory Event | 3 |
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