Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KAINOA BROAD
CRD#: 7024049
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 45-201 Nohonani Pl
Kaneohe, HI 96744
Registration History
201920202021202220232024202520262 FIRMS2023 - 2025 (1 year)2 FIRMS2025 - Present (<1 year)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2019 - 2023 (4 years)IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2020 - 2023 (3 years)
License(s)

State Registrations

B
Alaska 1/24/2025
IA
Hawaii 1/24/2025
IA
Alaska 1/29/2025
B
Oregon 1/24/2025
B
Arizona 1/24/2025
B
Texas 1/24/2025
B
Hawaii 1/24/2025
IA
Texas 1/25/2025

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)
B
LPL FINANCIAL LLC (CRD#:6413)
45-201 Nohonani Pl, Kaneohe, HI 96744
ANCHORAGE, AK
Registered with this firm since 1/24/2025
IA
LPL FINANCIAL LLC (CRD#:6413)
45-201 Nohonani Pl, Kaneohe, HI 96744
ANCHORAGE, AK
Registered with this firm since 1/24/2025
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/01/2023 - 01/28/2025 OSAIC WEALTH, INC. (CRD#:23131) KANEOHE, HI
B
 09/01/2023 - 01/28/2025 OSAIC WEALTH, INC. (CRD#:23131) KANEOHE, HI
IA
 01/27/2020 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) KANEOHE, HI
B
 09/13/2019 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) KANEOHE, HI
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.