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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

HERBERT SUEKICHI SHIRAISHI

Advisor at SHIRAISHI FINANCIAL GROUP ADVISORS

HONOLULU, HI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SHIRAISHI FINANCIAL GROUP ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 30, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 30, 1998
First registration: Mar 12, 2001
Dual registered: yes, broker-dealer
Other names: HERB SHIRAISHI|HERBERT S SHIRAISHI
IAPD individual key: 1835557

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SHIRAISHI FINANCIAL GROUP ADVISORS	Independent wealth	Jan 17, 2014	n/a	yes	HONOLULU, HI	Current employment
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	Independent wealth	May 31, 2013	Nov 13, 2014	no	HILO, HI\|SCOTTSDALE, AZ\|HONOLULU, HI\|HONOLULU, HI	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jan 23, 2009	May 9, 2013	no	HONOLULU, HI	Previous registration
BRECEK & YOUNG ADVISORS, INC.	Former SEC adviser	Jan 7, 2008	Jan 23, 2009	no	FOLSOM, CA\|HONOLULU, HI\|HILO, HI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 12, 2001	Jan 29, 2008	no	HONOLULU, HI\|HILO, HI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	SHIRAISHI FINANCIAL GROUP ADVISORS	Nov 13, 2014	Jan 17, 2014	-300	Firm change after gap	Other
SECURITIES AMERICA ADVISORS, INC.	UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	May 9, 2013	May 31, 2013	22	Firm change	Other
BRECEK & YOUNG ADVISORS, INC.	SECURITIES AMERICA ADVISORS, INC.	Jan 23, 2009	Jan 23, 2009	0	Bulk transfer	Other
LPL FINANCIAL LLC	BRECEK & YOUNG ADVISORS, INC.	Jan 29, 2008	Jan 7, 2008	-22	Firm change	Other

Relationships

Registered with (5)

→ SHIRAISHI FINANCIAL GROUP ADVISORSRegistered adviserregistration: current employment
Jan 17, 2014 to presentfactForm ADV
→ UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERRegistered adviserregistration: previous registration
May 31, 2013 to Nov 13, 2014factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jan 23, 2009 to May 9, 2013factForm ADV
→ BRECEK & YOUNG ADVISORS, INC.Registered adviserregistration: previous registration
Jan 7, 2008 to Jan 23, 2009factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 12, 2001 to Jan 29, 2008factForm ADV

Dated events

No dated event names this entity yet.