Rodney Shoji Ishioka
Professional Summary
Rodney Shoji Ishioka is a registered financial advisor currently at GRIFFIN CAPITAL SECURITIES, LLC located in Irvine, California. Rodney is registered as a RR (Registered Representative) and started their career in finance in 1998. Rodney has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 28 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
GRIFFIN CAPITAL | HIGHLAND CAPITAL GROUP | HIGHLAND CAPITAL | GRIFFIN CAPITAL SECURITIES, LLC | GRIFFIN CAPITAL SECURITIES, INC.
Contact Information
Main Address
2010 Main Street Suite 530, Irvine, CA 92614Mailing Address
2010 Main Street Suite 530, Irvine, CA 92614Phone Number
(949) 270-9300Established
Delaware since 09/28/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed May 2015About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Rodney Shoji Ishioka's CRS (Customer Relationship Summary).
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