Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daryl? Claim Your ProfileDaryl Tomobu Serizawa is a financial advisor with over 30 years of experience in the industry. Daryl is currently registered with Osaic Wealth, Inc. and has previously worked at several other firms, including Woodbury Financial Services, Inc., Independent Financial Group, LLC, and Pacific West Securities, Inc. Daryl holds several licenses and certifications, including Series 7, 24, 31, 63, and 65. Daryl has a broad range of experience and expertise, including financial planning, portfolio management, and retirement planning. Daryl's primary focus is on helping clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
01/19/2024 - Present
Osaic Wealth, Inc. (IRVINE CA)
CA
08/10/2017 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (IRVINE CA)
CA
05/04/2012 - 07/31/2017
INDEPENDENT FINANCIAL GROUP, LLC (IRVINE CA)
CA
11/18/2010 - 02/16/2012
PACIFIC WEST SECURITIES, INC. (COSTA MESA CA)
CA
09/27/2004 - 09/30/2010
LPL FINANCIAL CORPORATION (COSTA MESA CA)
MO
02/11/2002 - 10/07/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NJ
08/22/1997 - 02/26/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
03/23/1994 - 09/04/1997
SMITH BARNEY INC. (NEW YORK NY)
CO
10/21/1993 - 02/23/1994
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
NY
07/31/1993 - 09/29/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
01/29/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 04/26/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 01/25/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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