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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dean? Claim Your ProfileDean Mamoru Kumagawa is a financial advisor registered with LPL Financial LLC. Dean has been in the financial services industry since 1997 and has a wide range of experience. Dean is currently registered in California as both a broker and an investment advisor. Dean also holds multiple securities licenses, including Series 3, 6, 7, 26, 63, and 65. Dean previously worked for SAGEPOINT FINANCIAL, INC., NYLIFE SECURITIES LLC, SUNAMERICA CAPITAL SERVICES, INC., METLIFE INVESTORS DISTRIBUTION COMPANY, JACKSON NATIONAL LIFE DISTRIBUTORS, INC., and SUNAMERICA SECURITIES, INC.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
12/13/2019 - Present
LPL Financial LLC (LOS ANGELES CA)
CA
03/26/2014 - 12/26/2019
SAGEPOINT FINANCIAL, INC. (LOS ANGELES CA)
CA
07/23/2012 - 03/28/2014
NYLIFE SECURITIES LLC (LOS ANGELES CA)
CA
09/24/2007 - 04/23/2009
SUNAMERICA CAPITAL SERVICES, INC. (WOODLAND HILLS CA)
CA
12/11/2004 - 07/17/2007
METLIFE INVESTORS DISTRIBUTION COMPANY (IRVINE CA)
CA
07/11/2003 - 12/11/2004
METLIFE INVESTORS DISTRIBUTION COMPANY (NEWPORT BEACH CA)
TN
11/21/2000 - 05/13/2003
JACKSON NATIONAL LIFE DISTRIBUTORS, INC. (FRANKLIN TN)
NJ
07/15/1997 - 07/11/2000
SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)
AZ
01/23/1995 - 07/15/1997
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
AZ
02/08/1993 - 11/15/1994
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
IA
Issued 03/15/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/24/1994
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/11/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 11/16/1995
Series 7 - General Securities Representative Examination
BC
Issued 08/05/1992
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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