John R. Kawamoto

FINANCIAL PLANNING CONSULTANTS

San Jose, CA 95113-1713

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CRD#: 4719957

Professional summary

John Robert Kawamoto, who also goes by John R Kawamoto, is a registered financial advisor currently at FINANCIAL PLANNING CONSULTANTS, LLC located in San Jose, California and INTEGRITY ALLIANCE, LLC. located in Austin, Texas.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. John has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John R Kawamoto

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) FPC Planning Consultants, INC |Owner: 25 % | Relationship: SHAREHOLDER | Nature of Business: Life Insurance| Hrs. per Month: 1| Start Date: 6/2005 2) Lion Street Financial, LLC., | Broker Dealer and IAR | Relationship: Registered Representative | Nature of Business: Broker-Dealer | Hrs. per Month: 10 | Start Date: 01/2016 3) Petrinovich, Pugh, & Company, LLP | Managing Partner & CPA | Relationship: Managing Partner & CPA | Nature of Business: Accounting Firm | Hrs. 40 per Month | Start Date: 01/1990 4) FPC INSURANCE SERVICES, INC POSITION: Owner NATURE: Life Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/31/2005 ADDRESS: 333 W. Santa Clara St., #800, San Jose CA 95113, United States DESCRIPTION: Shareholder 5) FINANCIAL PLANNING CONSULTANTS, LLC POSITION: Owner NATURE: Investment Advice for Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/31/2016 ADDRESS: 333 W. Santa Clara St, #800, San Jose CA 95113, United States DESCRIPTION: Shareholder

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Kawamoto's 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

November 29, 2023 - Present

FINANCIAL PLANNING CONSULTANTS, LLC

Office #1: 333 West Santa Clara Suite 800, San Jose, CA 95113-1713

RIA

CRD#: 118547

San Jose, CA

Current

November 3, 2025 - Present

INTEGRITY ALLIANCE, LLC.

Office #1: 300 Colorado St Ste 2600, Austin, TX 78701

RIA

CRD#: 139627

AUSTIN, TX

Past

January 22, 2016 - November 3, 2025

LION STREET FINANCIAL, LLC

CRD#: 165828

AUSTIN, TX

Past

December 10, 2009 - January 22, 2015

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

SAN JOSE, CA

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

IAR

California
(11/29/2023)

California
(11/3/2025)

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 66

Date: 11/15/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/6/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FINANCIAL PLANNING CONSULTANTS, LLC

CRD#: 118547 / SEC#: 801-100504

RIA

Registered Investment Advisory firm - (6/1/2017 Terminated)

California

Registered Investment Advisory firm - (5/31/2017 Approved)

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).

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Contact information

Main Address

333 West Santa Clara Suite 800, San Jose, CA 95113-1713

Mailing Address

Phone number

(408) 287-7911

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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John R. Kawamoto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Kawamoto's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL PLANNING CONSULTANTS, LLC

INTEGRITY ALLIANCE, LLC.

LION STREET FINANCIAL, LLC

KESTRA INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2023

Series 63

Date: 1/6/2010

SIE

Date: 10/1/2018

Series 7

Date: 12/9/2009

FINRA

Current Firm

FINANCIAL PLANNING CONSULTANTS, LLC

Contact information

Documents

Red Flags

Company Information

FINANCIAL PLANNING CONSULTANTS, LLC

TRUST BUT VERIFY

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