Kevin Asano is a registered investment advisor, based in Aiea, HI, with 24 years of industry experience.
Location
Aiea, HI
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2022Settled
Other Business ActivitiesSells Insurance
Kevin is involved in numerous activities, including fixed insurance sales, financial services through Pacific Rim Legacy Group, and various non-profit and community organizations. He dedicates a significant amount of time to Mission Financial Group (full-time) and Pacific Rim Legacy Group (full-time), while also serving as a pastor and consultant for a beef import business.
Employment History
Current Registrations
Cetera Advisors LLCBroker
September 2022 - Present · 3 yrs 8 mos
Cetera Investment Advisers LLC
November 2020 - Present · 5 yrs 6 mos
Previous Registrations
First Allied Advisory Services, INC.
July 2012 - November 2020 · 8 yrs 4 mos
First Allied Securities, INC.
January 2008 - July 2012 · 4 yrs 6 mos
First Allied Securities, INC.Broker
December 2007 - September 2022 · 14 yrs 9 mos
Linsco/private Ledger CORP.
July 2007 - December 2007 · 5 mos
Linsco/private Ledger CORP.Broker
September 2001 - December 2007 · 6 yrs 3 mos
State Registrations9 states
ALAZCAFLHINMNVORWA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.