Hawaii securities oversight
Hawaii securities registration evidence
Hawaii DCCA’s Business Registration Division includes the Securities Compliance and Securities Enforcement branches. The Compliance Branch handles investment advisers, investment adviser representatives, broker-dealers and securities agents. Hawaii requires investment adviser applicants to file through IARD and undergo state review. A principal office location alone does not establish Hawaii registration.
Separate regulatory populations
| Population | Evidence status |
|---|---|
| Hawaii state-registered investment adviser firms | DCCA says Hawaii adviser registration is filed through IARD, then reviewed by the Securities Compliance Branch. Current Hawaii-jurisdiction firm population: NOT_ACQUIRED. |
| Federal covered adviser notice filings | A federal-covered notice filing is a separate regulatory status from Hawaii state registration. Hawaii-specific notice population: NOT_ACQUIRED. |
| Exempt reporting advisers | ERA status and filings are maintained as a separate IARD population. Hawaii state regulatory jurisdiction was not independently reconciled here: NOT_ACQUIRED. |
| Investment adviser representatives | IARs are people associated with advisers, not firms. Hawaii registration requires IARD filing; current people population and exact CRD reconciliation: NOT_ACQUIRED. |
| Broker-dealers and securities agents | DCCA separately regulates broker-dealers and securities agents. Firm, branch, and individual agent records must not be added together. Current population: NOT_ACQUIRED. |
| Examinations and enforcement orders | DCCA describes field examinations and publishes an enforcement-actions-and-orders resource. Examination observations and orders are separate from registrations; no adverse identity join was made. |
Official verification paths
- Hawaii DCCA Securities branches
- Securities Compliance Branch and IARD registration process
- Securities Enforcement Branch orders and actions
- SEC/IAPD adviser search
- FINRA BrokerCheck
Search results and filing statuses are source records, not an independently reconciled Hawaii census. State registration, SEC registration or notice, ERA reporting, IAR person registrations, broker-dealers, agents, examinations, and orders remain separate. No counts, rankings, Trust Score, or name-only adverse join are asserted.
Source clock and limits
Sources reviewed October 14, 2026. Current source-native Hawaii jurisdiction rows, exact firm and person matches, and evidence attachments were NOT_ACQUIRED. DCCA advises applicants to use IARD; individually querying records is not represented as a complete population. Use the regulator and IAPD/CRD lookup links to verify a specific record.