GE
Graham T. Enomoto
SHIRAISHI FINANCIAL GROUP ADVISORS
Honolulu, HI 96814
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CRD#: 5283799
GE
Professional summary
Graham Tadahiko Enomoto, who also goes by Graham Enomoto, is a registered financial advisor currently at SHIRAISHI FINANCIAL GROUP ADVISORS located in Honolulu, Hawaii and INDEPENDENT FINANCIAL GROUP, LLC located in Hilo, Hawaii.
Graham is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Graham has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Graham Enomoto
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: Agent/Representative NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2016 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: AGENT OF SFGA LLC, A HAWAII STATE REGISTERED INVESTMENT ADVISOR, OFFERING ADVISORY SERVICES. (2) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2008 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: INSURANCE AGENT SELLING VARIOUS TYPES OF INSURANCE. (3) PACIFIC CORNERSTONE FINANCIAL GROUP POSITION: Employee NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 15 START DATE: 01/01/2015 ADDRESS: 707 Richards Street, Suite 711, Honolulu HI 96813, United States DESCRIPTION: EMPLOYEE OF PACIFIC CORNERSTONE FINANCIAL GROUP WRITING LIFE, HEALTH, LONG TERM CARE & DISABILITY INSURANCE & ASSISTING AGENTS WITH SERVICE SUPPORT. (4) ADVANCED LIFE INSURANCE STRATEGIES POSITION: Employee NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/01/2015 ADDRESS: 707 Richards Street, Suite 711, Honolulu HI 96813, United States DESCRIPTION: VICE PRESIDENT OF ADVANCED LIFE INSURANCE STRATEGIES WHICH HELPS AGENTS PREPARING & SUBMITTING TRADITIONAL FIXED INSURANCE APPLICATIONS TO INSURANCE CARRIER.
CRS (Client Relationship Summary) - RIA
Click below to view Graham Tadahiko Enomoto's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Graham Tadahiko Enomoto'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
August 29, 2016 - Present
SHIRAISHI FINANCIAL GROUP ADVISORS
Office #1: 1357 Kapiolani Blvd Ste 1140, Honolulu, HI 96814RIA
CRD#: 168645
Honolulu, HI
Current
August 2, 2017 - 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
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
August 18, 2016 - December 9, 2016
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
May 10, 2013 - September 16, 2016
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
TAMPA, FL
Past
May 10, 2013 - September 16, 2016
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
HONOLULU, HI
Past
May 3, 2011 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
RIA
CRD#: 142170
HONOLULU, HI
Past
May 3, 2011 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
BD
CRD#: 142170
HONOLULU, HI
Past
October 7, 2009 - May 3, 2011
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
HONOLULU, HI
Past
October 7, 2009 - May 3, 2011
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
HONOLULU, HI
Past
January 22, 2008 - October 9, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
HONOLULU, HI
Past
January 1, 2008 - October 9, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HONOLULU, HI
Past
March 26, 2007 - August 31, 2007
OSAIC SERVICES, INC.
BD
CRD#: 133763
CULVER CITY, CA
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
California(12/9/2016)
IAR
Hawaii(8/29/2016)
RR
Hawaii(12/9/2016)
RR
Texas(4/14/2020)
IAR
Texas(4/15/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Honolulu, HI 96814TRUST BUT VERIFY
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