Hiroshi Mizutani: $200K Bond Complaint Against WIS Advisor

Pasadena, California financial advisor Hiroshi Mizutani (CRD# 3259903) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Western International Securities.

Mr. Mizutani’s BrokerCheck report discloses one investor complaint. Filed in June 2024, it alleges that as a representative of Western International Securities, he made an unsuitable and misleading recommendation involving a corporate bond investment. The pending complaint alleges damages of $200,000.

Western International Securities’ website includes a profile of Mr. Mizutani that describes his background, experience, and services. “Hiroshi has worked in the financial services industry since 1995 and accumulated a wide range of experiences, from Corporate Finance to Wealth Management,” it explains. “He focuses on understanding in clients’ core values and their priorities and developing wealth strategies and life-cycle planning for individual clients. He specializes in asset allocation and risk management and designs portfolios based on their goals. He also provides corporate finance and cash management solutions for institutional clients.”

According to the Financial Industry Regulatory Authority, Hiroshi Mizutani holds 22 years of securities industry experience. Based in Pasadena, California, he has been registered as a broker and an investment advisor with Western International Securities since 2015. His past registrations include Merrill Lynch, Citigroup Global Markets, and Citicorp investment Services. His credentials include the passage of six securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Investment Company Products/Variable Contracts Representative Examination, or Series 6TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in California, Delaware, Hawaii, Illinois, New Jersey, New York, and Washington. (Information current as of August 25, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.