GY
Grant R. Yamaguchi
CETERA INVESTMENT ADVISERS LLC
HONOLULU, HI 96813
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CRD#: 5428748
GY
Professional summary
Grant Rikio Yamaguchi, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Honolulu, Hawaii and CETERA WEALTH SERVICES, LLC located in Honolulu, Hawaii.
Grant is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Grant has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) LIFEGUARD; NOT INVESTMENT RELATED; 1527 KEEAUMOKU ST HONOLULU, HI 96822; LIFEGUARD; LIFEGUARD; 01/01/2004; APPX 3 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; LIFEGUARD AT MAKIKI POOL ON CALL
2) REAL ESTATE; NOT INVESTMENT RELATED; 98-689 AUPUNIMOI PL AIEA, HI 96701; PURCHASING REAL ESTATE AS AN INVESTMENT; REAL ESTATE; 01/01/2015; APPX 1 HOUR/MONTH; APPX 1 HOUR/MONTH DURING TRADING; PURCHASE REA ESTATE TO EITHER RENT OR FLIP
3) HAWAII FINANCIAL ADVISORS, INC; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; DBA; FINANCIAL ADVISOR; 03/27/2019; APPX 200 HOURS/MONTH; APPX 200 HOURS/MONTH DURING TRADING; FINANCIAL ADVISOR
4) PERRY FINANCIAL; NOT INVESTMENT RELATED; 13405 FOLSOM BLVD #400 FOLSOM, CA 95630; LIFE INSURANCE; INDEPENDENT AGENT; 05/06/2019; APPX 1 HR/MONTH; APPX 1 HR/MONTH DURING TRADING; PERRY ASSIST IN HELPING US FIND THE APPROPRIATE FIXED INSURANCE SOLUTIONS FOR CLIENTS. FIXED INSURANCE SHOUDL INCLUDE TERM INSURANCE, GROUP TERM INSURANCE, CASH VALUE INSURANCE (NOT VARIABLE LIFE), LONG TERM CARE INSURANCE
5)HIGHLAND CAPITAL BROKERAGE; NOT INVESTMENT RELATED; 1003 BISHOP ST PUAHI TOWER HONOLULU, HI 96813; LIFE INSURANCE; INDEPENDENT AGENT; 05/06/2019; APPX 1 HR/MONTH; APPX 1 HR/MONTH DURING TRADING; HIGHLAND ASSISTS IN HELPING US FIND THE APPROPRIATE FIXED INSURANCE SOLUTIONS FOR CLIENTS. FIXED INSURANCE COULD INCLUDE TERM, GROUP TERM, CASH VALUE LIFE INSURANCE (NOT VARIABLE) LONG TERM CARE
CRS (Client Relationship Summary) - RIA
Click below to view Grant Rikio Yamaguchi'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1100 Alakea St Ste 2400, Honolulu, HI 96813RIA
CRD#: 105644
HONOLULU, HI
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 745 Fort Street 1614, Honolulu, HI 96813BD
CRD#: 13572
Honolulu, HI
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 27, 2019 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
HONOLULU, HI
Past
March 18, 2019 - March 18, 2019
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
HONOLULU, HI
Past
March 18, 2019 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
HONOLULU, HI
Past
August 20, 2010 - February 28, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
HONOLULU, HI
Past
August 20, 2010 - February 28, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
HONOLULU, HI
Past
September 8, 2008 - August 3, 2010
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
HONOLULU, HI
Past
December 10, 2007 - August 3, 2010
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
Arizona(1/10/2025)
RR
California(5/31/2023)
RR
Colorado(9/20/2019)
RR
Hawaii(9/20/2019)
IAR
Hawaii(6/29/2023)
RR
Missouri(8/31/2020)
RR
Nevada(9/20/2019)
RR
Ohio(2/18/2025)
RR
Oregon(4/2/2025)
RR
Texas(8/22/2024)
IAR
Texas(8/22/2024)
RR
Utah(9/20/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
