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AH

Ayako Hanyu

Some features on this profile are disabled
CRD#: 4643437
AH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ayako Hanyu was a registered financial professional .

Ayako is a previously registered financial professional and started their career in finance in 2003. Ayako had worked at 3 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
Notary Services ; non-investment related; 100 Bayview Circle 500 Newport Beach, CA 92647 Notary services; personal as a notary public; 2015; 10 hours per year; no business during market hours; no compensation; notarized documents;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 18, 2016 - February 17, 2023

HOLLENCREST CAPITAL MANAGEMENT, LLC

RIA
CRD#: 46217
NEWPORT BEACH, CA
Past

January 28, 2011 - January 2, 2018

HOLLENCREST CAPITAL MANAGEMENT, LLC

BD
CRD#: 46217
NEWPORT BEACH, CA
Past

June 2, 2005 - September 11, 2009

WEDBUSH SECURITIES INC.

BD
CRD#: 877
LAS VEGAS, NV
Past

April 11, 2003 - July 10, 2003

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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".
HC
HOLLENCREST CAPITAL MANAGEMENT, LLC
HOLLENCREST CAPITAL MANAGEMENT | HOLLENCREST SECURITIES, LLC | HOLLENCREST CAPITAL MANAGEMENT, LLC

CRD#: 46217 / SEC#: 801-55904, 8-51348

RIA
Registered Investment Advisory firm - SEC (10/2/1998 Approved)
BD
Terminated by SEC on 01/14/2018

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/24/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/2/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/2003
General Securities Representative Examination

Current Firm

HC
HOLLENCREST CAPITAL MANAGEMENT, LLC
HOLLENCREST CAPITAL MANAGEMENT | HOLLENCREST SECURITIES, LLC | HOLLENCREST CAPITAL MANAGEMENT, LLC

CRD#: 46217 / SEC#: 801-55904, 8-51348

RIA
Registered Investment Advisory firm - SEC (10/2/1998 Approved)
BD
Terminated by SEC on 01/14/2018
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Contact information

Main Address
100 Bayview Circle Suite 500, Newport Beach, CA 92660-8903
Mailing Address
Phone number
(949) 737-7700
Established
California since 06/10/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
19

SEC notice filing (9 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

HOLLENCREST CAPITAL MANAGEMENT LLC - ADV PART 2A BROCHURE (3/24/2025)

Direct owners and executive officers

NamePositionCRD#
PELLIZZON, GREGORY PAULMANAGING MEMBER712667
PELLIZZON, PETER JOSEPHCHIEF OPERATING OFFICER1236771
PELLIZZON, PETER JOSEPHCHIEF COMPLIANCE OFFICER1236771
PELLIZZON, PETER JOSEPHMANAGING PARTNER1236771
PELLIZZON, PETER JOSEPHROSFP1236771
WOLFORD, ROBERT BURRMUNICIPAL SER. PRINCIPAL1336627
WOLFORD, ROBERT BURRFINOP1336627
SCHULMAN, MICHAEL ASHLEYMANAGING DIRECTOR5044091
KONON, JAMES JRROSFP2386644
KONON, JAMES JROPERATIONS MANAGER - AML OFFICER2386644

Regulatory assets under management

Total Number of Accounts1,296
AUM (Assets Under Management)$ 2,667,216,370

Disclosures

Regulatory Event2
Arbitration1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/20/2025
Cover Page
Report
10/21/2024
Cover Page
Report
12/19/2023
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.

Company Information

HOLLENCREST CAPITAL MANAGEMENT, LLC

CRD#: 46217

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