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Yuji R. Kawana

Some features on this profile are disabled
CRD#: 5914089
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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.

Yuji Randall Kawana was a registered financial professional .

Yuji is a previously registered financial professional and started their career in finance in 2011. Yuji had worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) YAMASA ENTERPRISES--515 STANFORD AVE., LOS ANGELES, CA 90013--NOT INVESTMENT RELATED--FOOD MANUFACTURING--VICE PRESIDENT/SHAREHOLDER SINCE JUNE 1990--10 HOURS/MONTH--0 HOURS/DAY DURING TRADING HOURS--DUTIES: OVERSEE OPERATIONAL GM. (2) JSL FOODS INC.--3550 PASADENA AVE., LOS ANGELES, CA--NOT INVESTMENT RELATED--FOOD MANUFACTURING--SHAREHOLDER SINCE JUNE 1990--0 HOURS/MONTH--0 HOURS/DAY DURING TRADING HOURS--NO DUTIES. (3) RGR FINANCIAL--3550 PASADENA AVE., LOS ANGELES, CA--NOT INVESTMENT RELATED--PAYDAY LOANS--SHAREHOLDER SINCE JANUARY 2001--0 HOURS/MONTH--0 HOURS/DAY DURING TRADING HOURS--NO DUTIES. (4) EZ RIMS 4 RENT--3550 PASADENA AVE., LOS ANGELES, CA--NOT INVESTMENT RELATED--RENT TO OWN--SHAREHOLDER SINCE OCTOBER 2006--0 HOURS/MONTH--0 HOURS/DAY DURING TRADING HOURS--NO DUTIES. (5) RGR NETWORK--514 TOWNE AVE., LOS ANGELES, CA--NOT INVESTMENT RELATED--REAL ESTATE--PARTNER SINCE JUNE 1990--10 HOURS/MONTH--0 HOURS/DAY DURING TRADING HOURS--NO DUTIES.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 6, 2011 - September 16, 2022

GANBATTE, LLC

RIA
CRD#: 157552
LAS VEGAS, NV

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/18/2011
Uniform Investment Adviser Law Examination

Current Firm

GL
GANBATTE, LLC
GANBATTE, LLC

CRD#: 157552 / SEC#:

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Contact information

Main Address
Las Vegas, NV
Mailing Address
848 N Rainbow Blvd., #2772, Las Vegas, NV 89107
Phone number
(702) 308-5855
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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

GANBATTE, LLC

CRD#: 157552

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