Craig Watanabe, financial advisor Pasadena CA
96 score

Craig Watanabe

CRD Number: 1177960
Current Firm: Penniall & Associates

Craig Watanabe (CRD# 1177960) is an Investment Advisor Representative working at Penniall & Associates in Pasadena, CA and has over 30 years of experience in the finance industry. Craig Watanabe has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Core Compliance & Legal Services San Diego, CA May 2015 - Current 1
Fi360 Pasadena, CA Apr 2014 - Current 2
United Planners' Financial Services Scottsdale, AZ Aug 2009 - Current 7
Penniall & Associates, Inc. Pasadena, CA Jul 2008 - Current 8
Advisor Solutions Group Newport Beach, CA Jul 2014 - Apr 2015 < 1
Natl Society Of Compliance Professionals Corwell Bridge, CT Jun 2008 - Oct 2014 6
Pension Architects Advisory Group Pasadena, CA Jun 2008 - Sep 2013 5
Walter Kluwer Financial Services Minneapolis, MN Jun 2008 - Sep 2011 3
Finra District 2 Committee Los Angeles, CA Jun 2008 - Jan 2011 2
Nrp Advisors, Inc. Bryan, OH Oct 2008 - Oct 2009 1
Nrp Finanical, Inc. Pasadena, CA May 2008 - Oct 2009 1
Western International Securities, Inc. Pasadena, CA Jul 1996 - Aug 2009 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1986
S65 NASAA Investment Advisors Law Examination Nov 1999
Contact Info for Craig R. Watanabe
Phone Number: 626-795-3062
Firm Website: http://www.penniall.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    945
    MILLIONS
  • Total Number of Accounts
    2,014
    ACCOUNTS
  • Average Account Value
    $469,233
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
Types of Clients
Registered States

AK, AR, AZ, CA, CO, CT, DC, FL, GA, HI, IA, ID, IL, KS, LA, MA, MD, MI, MN, MO, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, SC, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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