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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.)
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