Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Takashi Sugai is an active investment advisor representative who has been in the industry since July 5, 1974. Stephen is currently registered with LPL Financial LLC in Waialua, HI and is also registered in Texas. Stephen has previously been registered with Lincoln Financial Securities Corporation, Signator Investors, Inc., Pruco Securities Corporation, Sun Investment Services Company, Royal Alliance Associates, Inc., Integrated Resources Equity Corporation, Abel-Behnke Corporation, Travelers Equities Sales, Inc. and Equity Funding Securities Corp. Stephen has passed several examinations including Series 63, Series 65, Series 24, Series 7TO, Series 42, SIE, and Series 1. Stephen holds the Chartered Financial Consultant designation. Stephen is also active in other business activities including The Advisers Group - DBA for LPL Business (entity for LPL business).
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
05/16/2024 - Present
LPL Financial LLC (WAIALUA HI)
HI
08/02/2004 - 05/21/2024
LINCOLN FINANCIAL SECURITIES CORPORATION (WAIALUA HI)
MA
10/13/2000 - 06/11/2004
SIGNATOR INVESTORS, INC. (BOSTON MA)
NJ
07/21/1997 - 10/04/2000
PRUCO SECURITIES CORPORATION (NEWARK NJ)
MA
01/24/1990 - 06/27/1997
SUN INVESTMENT SERVICES COMPANY (WELLESLEY HILLS MA)
AZ
11/19/1989 - 01/25/1990
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
05/03/1983 - 11/19/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NA
12/01/1977 - 02/17/1982
ABEL-BEHNKE CORPORATION
NA
05/09/1975 - 12/20/1975
TRAVELERS EQUITIES SALES, INC.
NA
06/25/1969 - 09/10/1973
EQUITY FUNDING SECURITIES CORP
IA
Issued 08/20/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/05/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/13/1989
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 42 - Registered Options Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/1969
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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