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Detailed Report
RICHARD SHINGO KOSAI
CRD#: 1742503
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 ONE PARK PLAZA # 600
IRVINE, CA 92614
Registration History
199019952000200520102015202020252 FIRMS1999 - 2003 (4 years)2 FIRMS2003 - 2003 (<1 year)2 FIRMS2003 - Present (21 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1993 - 1999 (6 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (4 years)BBATEMAN EICHLER, HILL RICHARDS... (CRD# 76)1988 - 1988 (<1 year)BR.B. MARICH, INC. (CRD# 13227)1987 - 1988 (<1 year)
License(s)

State Registrations

B
Alabama 5/8/2020
B
Massachusetts 9/25/2018
B
Arizona 10/17/2003
B
Michigan 9/14/2016
B
California 10/17/2003
B
Nevada 11/14/2017
IA
California 10/17/2003
B
New Hampshire 12/19/2024
B
Florida 10/17/2003
B
New Jersey 3/13/2024
B
Georgia 12/9/2022
B
North Dakota 2/21/2025
B
Hawaii 12/23/2020
B
Oregon 9/16/2024
B
Illinois 7/25/2005
B
Washington 10/17/2003
B
Kentucky 9/14/2016

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
ONE PARK PLAZA # 600, IRVINE, CA 92614
Registered with this firm since 10/17/2003
B
LPL FINANCIAL LLC (CRD#:6413)
ONE PARK PLAZA # 600, IRVINE, CA 92614
Registered with this firm since 10/17/2003
Previous Registration(s)
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IA
 07/01/2003 - 10/21/2003 WACHOVIA SECURITIES, LLC (CRD#:19616) NEWPORT BEACH, CA
B
 07/01/2003 - 10/21/2003 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
 07/27/1999 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEWPORT BEACH, CA
B
 07/20/1999 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 01/29/1993 - 07/28/1999 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 11/23/1988 - 02/12/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 01/26/1988 - 12/01/1988 BATEMAN EICHLER, HILL RICHARDS, INCORPORATED (CRD#:76)
B
 10/20/1987 - 02/01/1988 R.B. MARICH, INC. (CRD#:13227)
FINRA expelled the firm on 05/18/1992
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.