Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Doris? Claim Your ProfileDoris Kimie Saki is an investment advisor representative at LPL Financial LLC in WAILUKU, HI. Doris has been in the financial industry since 1994. Doris also has a previous registration with WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC and UBS FINANCIAL SERVICES INC.. Doris is registered with the following securities authorities: FINRA and HI.
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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HI
08/20/2018 - Present
LPL Financial LLC (WAILUKU HI)
HI
01/31/2005 - 08/22/2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (WAILUKU HI)
NJ
11/05/1998 - 02/08/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
09/15/1994 - 11/04/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 11/03/2004
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/26/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/03/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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