Herbert Shiraishi
Herbert Shiraishi is a registered investment advisor at Independent Financial Group, LLC, based in Honolulu, HI, with 37 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 44,045 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IFG offers investment management through various programs, including AccessPoint, Custom Asset Management, and Third Party Asset Managers. Fees are based on a percentage of the value of your account and are negotiable. Transaction charges may also apply. The maximum advisory fee is 3.00% per year. IFG and its IARs may receive additional compensation from product sponsors, which creates a conflict of interest.
Location
1357 Kapiolani Blvd, Ste 1140, Honolulu, HI, 96814
Get directionsHistory
Regulatory History (5)
Customer Dispute
May 2018Customer Dispute
January 2017Customer Dispute
January 2017Customer Dispute
November 2009Employment Separation After Allegations
January 2008Other Business ActivitiesSells Insurance
Herbert is a licensed insurance agent and 100% owner of SFG, LTD, offering insurance sales and services, taking a few hours per week. He is also the owner and agent of SFGA LLC, a registered investment advisor, taking about a quarter of his time, and a landlord offering property management services, dedicating minimal time.
Employment History
Current Registrations
Independent Financial Group, LLCBroker
Shiraishi Financial Group Advisors
Previous Registrations
United Planners' Financial Services of America a Limited Partner
United Planners' Financial Services of America a Limited PartnerBroker
Securities America, INC.Broker
Securities America Advisors, INC.
Brecek & Young Advisors, INC.
Brecek & Young Advisors, INC.Broker
LPL Financial Corporation
LPL Financial CorporationBroker
Sunamerica Securities, INC.Broker
Aetna Investment Services, INC.Broker
Aetna Life Insurance and Annuity CompanyBroker
John Hancock Distributors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
State Registrations18 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.