Herbert Shiraishi has been Managing Member of Sfga since July 2013, is a control person of the firm and directly owns 75% or more of it.
Sfga LLC is a Honolulu, HI firm with $110M under management, 458 clients and 5 advisers across 2 offices, as of its May 2026 filing.
Herbert Shiraishi’s longest registration is the current one, 12 years at Sfga since 2014. Before joining Sfga in 2014, Herbert Shiraishi was registered through United Planners' Financial Services of America A Limited Partner and Securities America Advisors, Inc.
- – present · 12 yearsHonolulu, HI · Adviser representative · Firm CRD 168645
- United Planners' Financial Services of America A Limited Partner– · 1 yearHonolulu, HI · Adviser representative · Firm CRD 20804
- Securities America Advisors, Inc.– · 4 yearsHonolulu, HI · Adviser representative · Firm CRD 110518
- Brecek & Young Advisors, Inc.– · 1 yearHonolulu, HI · Adviser representative · Firm CRD 40395
- LPL Financial Corporation– · 6 yearsHonolulu, HI · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Herbert Shiraishi is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from January 2014; the most recent is Texas, in February 2020.
- HawaiiSince 17 January 2014
- TexasResidentSince 5 February 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 10 March 2000 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 September 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 November 1998 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 6 July 1988 |
- Name
- Securities Industry Essentials Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Herbert Suekichi Shiraishi
- CRD
- 1835557
- Firm
- Sfga · CRD 168645
- Role
- Managing Member
- Office
- 1357 KAPIOLANI BLVD, STE 1140, Honolulu, HI 96814
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1988
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Herbert Shiraishi work?
Herbert Shiraishi has been Managing Member of Sfga LLC since July 2013, and is a control person of the firm.
Is Herbert Shiraishi a financial advisor?
Yes. Herbert Shiraishi has a current investment-adviser registration in Hawaii and Texas, through Sfga since January 2014.
How many years of experience does Herbert Shiraishi have?
Herbert Shiraishi has 38 years in the financial industry, since July 1988, across 5 adviser firms.
What exams has Herbert Shiraishi passed?
Herbert Shiraishi has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 26. The earliest, the Series 6, was passed in July 1988. FINRA credited Herbert Shiraishi with the SIE, which began in October 2018.
Where did Herbert Shiraishi work before Sfga?
Before Sfga, Herbert Shiraishi was registered through Securities America Advisors, Inc., January 2009 to May 2013; Brecek & Young Advisors, Inc., January 2008 to January 2009; LPL Financial Corporation, March 2001 to January 2008.
Where is Herbert Shiraishi based?
Herbert Shiraishi’s registered office is in Honolulu, HI.
Is Herbert Shiraishi registered with FINRA?
Yes. Herbert Shiraishi has a current broker registration, under CRD 1835557.
Source: FINRA BrokerCheck
How can I verify Herbert Shiraishi’s record?
Search CRD 1835557 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Herbert Shiraishi’s full registration record.