Carlton C. Okamoto

B. RILEY WEALTH MANAGEMENT

Honolulu, HI 96813

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CRD#: 351663

Professional summary

Carlton Creig Okamoto is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Honolulu, Hawaii.

Carlton is registered as a RR (Registered Representative) and started their career in finance in 1970. Carlton has worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 1, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Carlton Creig Okamoto'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®

None

Experience

Current

July 22, 2022 - Present

B. RILEY WEALTH MANAGEMENT

Office #1: 1001 Bishop Street #1530, Honolulu, HI 96813

CRD#: 2543

Honolulu, HI

Past

November 15, 1993 - July 22, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

HONOLULU, HI

Past

July 10, 1989 - October 22, 1993

FAIRCHILD FINANCIAL GROUP, INC.

CRD#: 21404

NEW YORK, NY

Past

March 16, 1989 - July 26, 1990

J. B. STERLING CORP. (INVESTMENT SECURITIES)

CRD#: 8205

Past

March 26, 1987 - March 4, 1989

FITZGERALD, TALMAN, INC.

CRD#: 13699

Past

February 3, 1986 - September 12, 1986

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

Past

May 25, 1984 - May 12, 1986

GENESIS CAPITAL CORPORATION

CRD#: 14813

Past

January 13, 1984 - August 3, 1984

ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.

CRD#: 8350

Past

September 2, 1983 - November 22, 1983

B. J. LEONARD AND COMPANY, INC.

CRD#: 62

Past

September 13, 1982 - August 22, 1983

FIRST COLORADO INVESTMENTS & SECURITIES, INC.

CRD#: 6929

Past

July 29, 1982 - September 2, 1982

ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.

CRD#: 8350

Past

July 9, 1982 - August 2, 1982

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

Past

June 21, 1979 - August 5, 1982

J DANIEL BELL & COMPANY, INC.

CRD#: 6615

Past

December 17, 1970 - October 6, 1972

FIRST WESTERN SECURITIES OF COLO INC

CRD#: 1000003

State Registrations and Notice Filings

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

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
(7/22/2022)

Colorado
(7/22/2022)

Florida
(7/22/2022)

Hawaii
(7/22/2022)

New York
(7/22/2022)

Oregon
(7/22/2022)

Washington
(7/22/2022)

Exams

State Security Law Exam

Series 63

Date: 8/9/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1979

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 8/7/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 27

Date: 9/15/1984

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/29/1984

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

B. RILEY WEALTH MANAGEMENT

CRD#: 2543 / SEC#: 801-67275, 8-31206

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

40 South Main Suite 1800, Memphis, TN 38103

Mailing Address

40 South Main Suite 1600, Memphis, TN 38103

Phone number

(901) 251-1330

Established

Tennessee since 01/10/1992

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

250

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BRWM ADV PART 2A FIRM BROCHURE 03/2022 (3/31/2022)

BRWM ADV PART 2A WRAP FEE PROGRAM BROCHURE 03/2022 (3/31/2022)

Direct owners and executive officers

Name	Position	CRD#
B. RILEY WEALTH MANAGEMENT HOLDINGS, INC.	DIRECT OWNER
BONNEMA, STEPHEN JOSEPH	CHIEF ADMINISTRATIVE OFFICER	2229865
MULLEN, MICHAEL ANTHONY	CHIEF EXECUTIVE OFFICER	1428116
ORTEGA, DANIEL	CHIEF COMPLIANCE OFFICER	3095215
SWAIN, MARY ANN NELL	CHIEF FINANCIAL OFFICER	6484916
ZANONE, PHILIP RICHARD JR	CHIEF OPERATING OFFICER	2135221

Regulatory assets under management

Total Number of Accounts	9,621
AUM (Assets Under Management)	$ 4,118,839,755

Disclosures

Regulatory Event	18
Arbitration	4
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/28/2022	Cover Page	Report

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.

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Carlton C. Okamoto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlton Creig Okamoto's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL SECURITIES CORPORATION

FAIRCHILD FINANCIAL GROUP, INC.

J. B. STERLING CORP. (INVESTMENT SECURITIES)

FITZGERALD, TALMAN, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

GENESIS CAPITAL CORPORATION

ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.

B. J. LEONARD AND COMPANY, INC.

FIRST COLORADO INVESTMENTS & SECURITIES, INC.

ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

J DANIEL BELL & COMPANY, INC.

FIRST WESTERN SECURITIES OF COLO INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/1979

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1979

Series 1

Date: 8/7/1968

Series 27

Date: 9/15/1984

Series 24

Date: 3/29/1984

FINRA

Current Firm

B. RILEY WEALTH MANAGEMENT

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

B. RILEY WEALTH MANAGEMENT

TRUST BUT VERIFY

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