AdFi
NY

Neil Yukio Nakagawa

Investment Adviser Representative at THE PACIFIC FINANCIAL GROUP, INC.

Nashville, TNCRD #2565291Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
12 yrs
States Registered
2 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
CaliforniaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 7/27/2012
Series 63
Uniform Securities Agent State Law Examination
Passed 2/16/2001
Series 65
Uniform Investment Adviser Law Examination
Passed 1/17/1996
SIE
Securities Industry Essentials Examination
Passed 7/29/2015
Series 7
General Securities Representative Examination
Passed 6/9/2005
Series 22
Direct Participation Programs Representative Examination
Passed 2/24/2001
Series 31
Futures Managed Funds Examination
Passed 4/24/1995

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $5,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

THE Pacific Financial Group, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

THE PACIFIC FINANCIAL GROUP, INC.Current
8/12/2015Nashville, TN
ARQUE CAPITAL, LTD.
11/1/20126/27/2013Sacramento, CA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Neil Yukio Nakagawa has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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