Paul Niiyama
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.
Paul Niiyama was a registered financial advisor .
Paul is a previously registered financial advisor and started their career in finance in 2005. Paul had worked at 2 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2008 - December 4, 2008
INVESTMENT ADVISORS INTERNATIONAL, INC.
July 20, 2007 - December 31, 2007
INVESTMENT ADVISORS INTERNATIONAL, INC.
August 10, 2005 - December 3, 2008
WORLD GROUP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INVESTMENT ADVISORS INTERNATIONAL, INC.
CRD#: 139233 / SEC#: 801-66681
Contact information
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.
