Close Menu
Free Consultation: 888-976-6111

Kevin Asano: $300K Complaint Against Honolulu Advisor

First Allied Securities advisor Kevin Asano (CRD# 4450052) allegedly recommended unsuitable investments and engaged in other forms of misconduct, according to an investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Honolulu, Hawaii. 

Mr. Asano’s BrokerCheck report discloses one investor complaint against him. Filed in August 2022, it alleges that as a representative of First Allied Securities, he recommended unsuitable real estate investments, made misrepresentations of material facts, breached contract, and failed in his supervisory duties. The pending complaint alleges damages of $300,000.

According to the Financial Industry Regulatory Authority, Kevin Asano holds 20 years of securities industry experience. Based in Honolulu, Hawaii, he has been a broker and an investment advisor with First Allied Securities since 2007 and 2020, respectively. He was previously registered with Linsco/Private Ledger Corporation in Honolulu, from 2001 until 2007. His credentials include the passage of eight securities industry qualifying exams: the Investment Company Products/Variable Contracts Principal Examination, or Series 26; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Sales Supervisor – General Module Examination, or Series 10; 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 Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Alabama, Arizona, California, Florida, Hawaii, Nevada, New Mexico, Oregon, and Washington. (Information current as of August 30, 2022.)

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.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Kingswood Advisor Brady Fuchs Receives Oil & Gas Complaint

    San Diego financial advisor Brady Fuchs (CRD# 3203016) has received an investor complaint alleging that his conduct resulted in five-figure...

    Read More
  • Bill Sines: New Complaint Against Senior Financial Services Advisor

    Multiple investor complaints against Seminole, Florida financial advisor Bill Sines (CRD# 2190586) allege that he recommended unsuitable investments. Financial Industry...

    Read More
  • Jason Rossi: $203K Complaint Against Aegis Capital Broker

    Melville, New York financial advisor Jason Rossi (CRD# 4384426) allegedly churned investments and made unauthorized trades, according to a recent...

    Read More
  • Lone Star Advisor Charles Bryant: $200K Suitability Complaint

    Sarasota financial advisor Charles Bryant (CRD# 5346404) is involved in an investor complaint alleging he provided unsuitable investment advice that...

    Read More
  • Previous
  • Next