Richard H. Owaki
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.
Richard Hiroki Owaki, who also goes by Rick Hiroki Owaki, Rick Owaki, Ricky Hiroki Owaki, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2017. Richard had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2019 - December 9, 2019
US CAPITAL GLOBAL SECURITIES, LLC
September 26, 2017 - December 31, 2017
FUNDING CIRCLE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
US CAPITAL GLOBAL SECURITIES, LLC
CRD#: 169544 / SEC#: , 8-69375
Contact information
FINRA licenses (16 States and Territories)
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.
