Jason L. Wong

SHIRAISHI FINANCIAL GROUP ADVISORS

Honolulu, HI 96814

Some features on this profile are disabled

CRD#: 2965770

Professional summary

Jason Lloyd Wong, AIF®, who also goes by Jason L Wong, is a registered financial advisor currently at SHIRAISHI FINANCIAL GROUP ADVISORS located in Honolulu, Hawaii and INDEPENDENT FINANCIAL GROUP, LLC located in Hilo, Hawaii.

Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jason has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jason L Wong

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.

(1) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2008 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: HAWAII LICENSED INSURANCE AGENT OF SFG, LTD. OFFERING INSURANCE SALES AND SERVICES (2) SFGA LLC POSITION: Officer/Director NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2014 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: AGENT OF SFGA LLC (Shiraishi Financial Group Advisors), A HAWAII STATE REGISTERED INVESTMENT ADVISOR, OFFERING ADVISORY SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Lloyd Wong'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

January 7, 2014 - Present

SHIRAISHI FINANCIAL GROUP ADVISORS

Office #1: 1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814

RIA

CRD#: 168645

Honolulu, HI

Current

December 9, 2016 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 116 Hualalai Street #100, Hilo, HI 96720Office #2: 1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814

RIA

CRD#: 7717

Hilo, HI

Past

April 29, 2013 - November 13, 2014

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

HONOLULU, HI

Past

April 29, 2013 - December 9, 2016

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

HONOLULU, HI

Past

January 23, 2009 - May 8, 2013

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HONOLULU, HI

Past

January 23, 2009 - May 8, 2013

SECURITIES AMERICA, INC.

CRD#: 10205

HONOLULU, HI

Past

January 9, 2008 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

RIA

CRD#: 40395

HONOLULU, HI

Past

January 9, 2008 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

HONOLULU, HI

Past

March 12, 2001 - January 15, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

HONOLULU, HI

Past

October 17, 2000 - January 15, 2008

LPL FINANCIAL LLC

CRD#: 6413

HONOLULU, HI

Past

March 12, 1999 - September 28, 2000

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

January 22, 1998 - March 1, 1999

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

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".

SHIRAISHI FINANCIAL GROUP ADVISORS

SFGA LLC | SHIRAISHI FINANCIAL GROUP ADVISORS

CRD#: 168645 / SEC#: 801-107307

RIA

Registered Investment Advisory firm - (2/18/2016 Approved)

California

Registered Investment Advisory firm - (3/27/2016 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/9/2016)

Florida
(1/18/2024)

IAR

Hawaii
(1/7/2014)

Hawaii
(1/3/2017)

Indiana
(6/12/2023)

Washington
(12/9/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/22/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/21/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SHIRAISHI FINANCIAL GROUP ADVISORS

SFGA LLC | SHIRAISHI FINANCIAL GROUP ADVISORS

CRD#: 168645 / SEC#: 801-107307

RIA

Registered Investment Advisory firm - (2/18/2016 Approved)

California

Registered Investment Advisory firm - (3/27/2016 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2016 Terminated)

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

1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814

Mailing Address

Phone number

(808) 951-7185

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/5/2025)

Regulatory assets under management

Total Number of Accounts	1,110
AUM (Assets Under Management)	$ 117,832,162

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

Racquel Nakata

EQUITABLE ADVISORS, LLC

IAR

Honolulu, HI

Bradford Tom

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Honolulu, HI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jason L. Wong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Lloyd Wong's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SUNAMERICA SECURITIES, INC.

VOYA FINANCIAL PARTNERS, LLC

Primary Firm SEC Registration

SHIRAISHI FINANCIAL GROUP ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/1999

Series 63

Date: 1/21/1998

Series 7TO

Date: 1/22/2025

SIE

Date: 10/1/2018

Series 6

Date: 1/21/1998

FINRA

Current Firm

SHIRAISHI FINANCIAL GROUP ADVISORS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHIRAISHI FINANCIAL GROUP ADVISORS

TRUST BUT VERIFY

Similar Advisors