Neal E. Nakagiri
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.
Neal Edwin Nakagiri was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1981. Neal had worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, Series 7TO, SIE, Series 55, Series 5, Series 27, Series 14, Series 53, Series 24, Series 4 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2006 - March 18, 2022
NPB FINANCIAL GROUP, LLC
January 26, 2006 - March 18, 2022
NPB FINANCIAL GROUP, LLC
July 8, 1997 - December 31, 2004
ASSOCIATED SECURITIES CORP.
July 8, 1997 - December 19, 2005
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
September 26, 1995 - June 5, 2002
ASSOCIATED PLANNERS SECURITIES CORPORATION OF NEVADA, INC.
March 1, 1985 - December 31, 2004
ASSOCIATED SECURITIES CORP.
August 14, 1984 - February 28, 1985
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
October 14, 1981 - August 17, 1984
JEFFERIES LLC
January 8, 1981 - March 3, 1986
JEFFERIES EXECUTION SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 4/1/2000
Limited Representative-Equity Trader ExamSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationF04
Date: 12/1/1980
Financial Principal ExaminationCurrent Firm
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
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.
