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Colin Kazuo Watanabe

B. Riley Wealth Management

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About Colin Kazuo Watanabe

Colin Watanabe is a financial advisor with over 30 years of experience in the industry. Colin is currently registered with B. Riley Wealth Management and has a Series 7, Series 24, Series 4, Series 63, Series 99TO, and SIE licenses. Colin's previous employers include National Securities Corporation, Marshall Davis, Inc., Fitzgerald, Talman, Inc., Royce Park Investments, Inc., Pittock Financial Corporation, and Chesley and Dunn, Inc. Colin's experience spans several industries, including financial services, investment banking, and wealth management. Colin is committed to providing personalized financial advice to help clients achieve their financial goals.

Firm Information

Colin Watanabe is currently registered with B. Riley Wealth Management. B. Riley Wealth Management is a Corporation formed on January 10, 1992. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

130

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Colin Watanabe’s Registration & Firm History

HI

07/22/2022 - Present

B. Riley Wealth Management (Honolulu HI)

HI

11/22/1989 - 07/22/2022

NATIONAL SECURITIES CORPORATION (HONOLULU HI)

NA

12/13/1988 - 11/29/1989

MARSHALL DAVIS, INC.

NA

11/10/1987 - 12/20/1988

FITZGERALD, TALMAN, INC.

NA

07/01/1986 - 11/20/1987

ROYCE PARK INVESTMENTS, INC.

NA

12/26/1984 - 07/16/1986

PITTOCK FINANCIAL CORPORATION

NA

02/07/1984 - 10/30/1985

CHESLEY AND DUNN, INC.

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Licenses & Designations

BC

Issued 02/04/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/25/1989

Series 4 - Registered Options Principal Examination

BC

Issued 03/17/1989

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/21/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Colin Kazuo Watanabe.
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