Terrance Y. Yoshikawa
Professional summary
Terrance Yutaka Yoshikawa was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Terrance is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Terrance had worked at 7 firms, which includes KO SECURITIES INC., NATIONAL SECURITIES CORPORATION, WEDBUSH SECURITIES INC., HORNBLOWER & WEEKS - HEMPHILL NOYES INCORPORATED, FOSTER & MARSHALL INC., BIRR WILSON & CO. INC., WILLIAM P HARPER & SON & CO.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 1980 - August 28, 2002
KO SECURITIES, INC.
June 21, 1979 - December 1, 1980
NATIONAL SECURITIES CORPORATION
April 18, 1977 - July 1, 1979
WEDBUSH SECURITIES INC.
May 20, 1975 - March 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
January 2, 1974 - June 1, 1975
FOSTER & MARSHALL INC.
May 8, 1973 - January 15, 1974
BIRR, WILSON & CO., INC.
January 2, 1970 - May 18, 1973
WILLIAM P HARPER & SON & CO
State Registrations and Notice Filings
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Exams
Series 55
Date: 4/1/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 10/14/1969
Registered Representative ExaminationF04
Date: 2/15/1980
Financial Principal ExaminationCurrent Firm
KO SECURITIES, INC.
CRD#: 8364 / SEC#: , 8-25249
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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