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Detailed Report
Registration History
198519901995200020052010201520202025IAFISHER INVESTMENTS (CRD# 107342)2012 - Present (12 years)BSENTRA SECURITIES CORPORATION (CRD# 10249)2001 - 2001 (<1 year)BPACIFIC WEST SECURITIES, INC. (CRD# 6390)2000 - 2001 (1 year)BTAKE CHARGE FINANCIAL (CRD# 16724)1996 - 1998 (1 year)BPACIFIC HARBOR SECURITIES, INC. (CRD# 8755)1994 - 1996 (2 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)1990 - 1994 (4 years)BMUTUAL BENEFIT FINANCIAL SERVI... (CRD# 4882)1988 - 1989 (<1 year)BSHEARSON LEHMAN BROTHERS INC. (CRD# 7506)1985 - 1987 (2 years)BFOSTER & MARSHALL INC. (CRD# 321)1985 - 1985 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1982 - 1985 (2 years)IAWALL STREET ADVISORS L.L.C. (CRD# 139324)2006 - 2012 (6 years)IAFISHER INVESTMENTS (CRD# 107342)2001 - 2006 (4 years)
Disclosure(s)
View By:
3/16/2001
Regulatory
Final
9/23/1987
Employment Separation After Allegations
License(s)

State Registrations

IA
Hawaii 5/16/2022
IA
Texas 2/8/2022
IA
Idaho 9/7/2018
IA
Washington 8/1/2012
Current Registration(s)
IA
FISHER INVESTMENTS (CRD#:107342)
Lahaina, HI
Registered with this firm since 8/1/2012
Previous Registration(s)
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IA
 02/08/2006 - 07/30/2012 WALL STREET ADVISORS L.L.C. (CRD#:139324) KIRKLAND, WA
IA
 10/24/2001 - 01/11/2006 FISHER INVESTMENTS (CRD#:107342) KENMORE, WA
B
 04/04/2001 - 11/14/2001 SENTRA SECURITIES CORPORATION (CRD#:10249) PHOENIX, AZ
B
 02/22/2000 - 02/26/2001 PACIFIC WEST SECURITIES, INC. (CRD#:6390) RENTON, WA
B
 11/08/1996 - 06/30/1998 TAKE CHARGE FINANCIAL (CRD#:16724)
FINRA expelled the firm on 08/23/2012
LOS GATOS, CA
B
 05/17/1994 - 08/20/1996 PACIFIC HARBOR SECURITIES, INC. (CRD#:8755) HIGHLAND, UT
B
 01/31/1990 - 04/26/1994 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) DES MOINES, IA
B
 11/09/1988 - 10/07/1989 MUTUAL BENEFIT FINANCIAL SERVICE COMPANY (CRD#:4882)
B
 09/10/1985 - 10/07/1987 SHEARSON LEHMAN BROTHERS INC. (CRD#:7506)
B
 06/21/1985 - 09/11/1985 FOSTER & MARSHALL INC. (CRD#:321)
B
 12/22/1982 - 06/05/1985 DEAN WITTER REYNOLDS INC. (CRD#:7556)
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.