Individual Firm
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Michael Miura
MICHAEL TORAO MIURA, MICHAEL TORAO YOSHIO MIURA, MICHAEL MIURA
CRD#: 5907391
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 1003 BISHOP STREET
PAUAHI TOWER, SUITE 1450
HONOLULU, HI 96813
PAUAHI TOWER, SUITE 1450
HONOLULU, HI 96813
View By:
3/20/2020
Customer Dispute
Denied
State Registrations
B
California 2/16/2021
B
Michigan 9/16/2022
IA
California 3/9/2021
IA
Michigan 9/22/2022
B
Hawaii 3/12/2021
B
New York 3/13/2021
IA
Hawaii 3/12/2021
B
Washington 3/15/2021
B
Kansas 2/16/2021
IA
Washington 7/16/2021
IA
Kansas 3/12/2021
SRO Registrations
B
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IA
Registered with this firm since 3/9/2021
B
Registered with this firm since 2/16/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/01/2011 - 11/04/2020 | HONOLULU, HI | |
B | 05/17/2011 - 11/04/2020 | HONOLULU, HI |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.