KK
Kendall K. Kakugawa
SHIRAISHI FINANCIAL GROUP ADVISORS
Honolulu, HI 96814
Some features on this profile are disabled
CRD#: 5118567
KK
Professional summary
Kendall K.k. Kakugawa, who also goes by Kendall K Kakugawa, is a registered financial advisor currently at SHIRAISHI FINANCIAL GROUP ADVISORS located in Honolulu, Hawaii and INDEPENDENT FINANCIAL GROUP, LLC located in Hilo, Hawaii.
Kendall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Kendall has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kendall K Kakugawa
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) SFGA LLC POSITION: Independent Contractor NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 02/25/2014 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: IAR OF SFGA LLC, A SEC REGISTERED INVESTMENT ADVISOR OFFERING ADVISORY SERVICES (2) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/30/2007 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: HAWAII LICENSED INSURANCE AGENT OF SFG, LTD. OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (3) SHIRAISHI FINANCIAL GROUP (SFG) POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 40 START DATE: 08/30/2007 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: REGISTERED REPRESENTATIVE AT DBA USED TO MARKET SECURITIES AND INSURANCE BUSINESS. (4) LEEWARD COMMUNITY CHURCH POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 02/24/2019 ADDRESS: 1860 Komo Mai Drive, Pearl City HI 96782, United States DESCRIPTION: DEACON & TREASURER ON BOARD OF DIRECTORS. KENDALL KAKUGAWA POSITION: Grantor / Trustee NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2021 ADDRESS: , Pearl City HI , United States DESCRIPTION: Grantor Trustee of personal joint trust
CRS (Client Relationship Summary) - RIA
Click below to view Kendall K.k. Kakugawa'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®
NoneExperience
Current
February 25, 2014 - Present
SHIRAISHI FINANCIAL GROUP ADVISORS
Office #1: 1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814RIA
CRD#: 168645
Honolulu, HI
Current
December 9, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 116 Hualalai Street #100, Hilo, HI 96720Office #2: 1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814RIA
BD
CRD#: 7717
Hilo, HI
Past
April 29, 2013 - November 13, 2014
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
HONOLULU, HI
Past
April 29, 2013 - December 9, 2016
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
HONOLULU, HI
Past
January 23, 2009 - May 8, 2013
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
HONOLULU, HI
Past
January 23, 2009 - May 8, 2013
SECURITIES AMERICA, INC.
BD
CRD#: 10205
HONOLULU, HI
Past
October 23, 2008 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
RIA
CRD#: 40395
HONOLULU, HI
Past
January 9, 2008 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
HONOLULU, HI
Past
October 25, 2007 - January 15, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
HONOLULU, HI
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".
SF
SHIRAISHI FINANCIAL GROUP ADVISORS
SFGA LLC | SHIRAISHI FINANCIAL GROUP ADVISORS
CRD#: 168645 / SEC#: 801-107307
RIA
Registered Investment Advisory firm - (2/18/2016 Approved)California
Registered Investment Advisory firm - (3/27/2016 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2016 Terminated)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.RR
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
RR
Florida(1/17/2024)
IAR
Hawaii(2/25/2014)
RR
Hawaii(12/9/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SHIRAISHI FINANCIAL GROUP ADVISORS
SFGA LLC | SHIRAISHI FINANCIAL GROUP ADVISORS
CRD#: 168645 / SEC#: 801-107307
RIA
Registered Investment Advisory firm - (2/18/2016 Approved)California
Registered Investment Advisory firm - (3/27/2016 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814
Mailing Address
Phone number
(808) 951-7185
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,110 |
| AUM (Assets Under Management) | $ 117,832,162 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
