Neal E. Nakagiri, President, Chief Executive Officer and Chief Compliance Officer
 

Neal E. Nakagiri, President, Chief Executive Officer and Chief Compliance Officer, (born 1954), has been in the securities business since 1976, when he joined the Los Angeles NASD district office as an examiner trainee.   He was subsequently promoted to Investigator,  and conducted sales practice, financial and operational exams, as well as special examinations of NASD member firms relating to options activities, unusual movements in stock prices, terminations for cause and customer complaints.

In 1980, Mr. Nakagiri became Vice President and Compliance Director of Wagenseller & Durst, Inc. a regional NYSE member firm with approximately 120 retail reps in approximately twelve branch offices located in California, Oregon and Arizona.  As Chief Compliance Officer, he monitored the usual retail sales practices, as well as  certain underwriting and syndication activities.

In 1983, Mr. Nakagiri was appointed First Vice President and Compliance Director of Jefferies & Company, Inc., which at the time was the largest third market firm in the country.  Jefferies owned 80% of Wagenseller, so Nakagiri merely added the duties of monitoring Jefferies' institutional sales activities, especially in the areas of block trading, corporate repurchase programs and selected stock offerings under SEC Rule 415.

In 1984, Mr. Nakagiri joined Morgan Olmstead Kennedy & Gardner as its Compliance Director, monitoring a retail sales force and certain underwriting and syndicate activities.
 

In 1985, Mr. Nakagiri joined Associated Securities Corp. as its Compliance Officer, and was subsequently promoted to General Counsel, Corporate Secretary, Chief Operating Officer, and finally, Chief Executive Officer and President.

Since leaving ASC at the end of December 2004, Mr. Nakagiri has functioned as a business consultant, a lawyer, and a member of the board of directors of Meredith Enterprises, Inc., a REIT that was formerly listed on the American Stock Exchange.

Mr. Nakagiri was a member and 2003 Vice Chair of the NASD  Los Angeles District Committee, (2001-2003) and was a member and 2006 Vice Chair of the NASD National Adjudicatory Council, (2004-2006). He is a 2009 member of FINRA's Small Firm Advisory Board.

Mr. Nakagiri is a current member of the State Bar of California.  His JD degree is from Loyola Law School of Los Angeles, (1991), and his BA Economics degree is from UCLA (1976).

He has been a speaker and panelist at various securities industry conferences and events.

He is qualified as a general securities, financial and operations, options and municipal securities principal.

He holds the following registrations or licenses:
                    Series 4, 5, 7, 24, 27, 55, 63, 65.

Gary K. Ching, Vice President and Chief Financial Officer
 

Gary K. Ching, Vice President and Chief Financial Officer, (born 1962), joined the operations staff of Associated Securities Corp. in 1987, and was most recently a Vice President in charge of developing investment advisor products and services, and maintaining the operational capabilities to increase assets under management.

Immediately prior to that, Mr. Ching managed the commission accounting staff at ASC.  Mr. Ching left ASC in July 2005.

 

Mr. Ching earned a Bachelor of Business Administration in Finance degree from the University of Hawaii in 1986.

He is qualified as a general securities and financial and operations principal.

Mr. Ching holds the following registrations or licenses:
                               Series 7, 24, 27, 63, 65.

Shirley J. Coria, Vice President and Chief Administrative Officer 

Shirley J. Coria, Vice President and Chief Administrative Officer, (born 1956), started her securities industry career in 1981 as an administrative assistant in the Los Angeles NASD district office.

In 1983, she joined Associated Securities Corp. as a member of the administrative staff, ultimately rising to the role of Senior Vice President in charge of human resources and registration and licensing.  She was responsible for reviewing and maintaining the registration and licensing process for securities, insurance and investment advisory business.  She left ASC in June 2005.
 

Ms. Coria is a consultant for The Citadel Group, LLC, specializing in human resources matters.

Ms. Coria holds a Masters Degree in Human Resource Design from the Claremont Colleges, and a BA degree from California State University, Los Angeles.

She is qualified as a general securities principal.

Ms. Coria holds the following registrations or licenses:
                               Series 7, 24, 66.

Frank Chan, Business Development

Frank S. Chan, Business Development, (born 1967), has been in the securities business since 1994.  He was in retail sales at Prudential Insurance and Metropolitan Life as a registered sales representative. 

In 1995, Mr. Chan was an internal wholesaler for SunAmerica.  He increased annuity sales by building customer intimacy through consistent and credible communications.  Mr. Chan developed selling relationships, and retained and strengthened relationships with existing producers.  He initiated and supported the sales and marketing activities of an assigned geographic territory (CA, OR, HI and NV). 

In 1997, Mr. Chan joined Associated Securities Corp. as First V.P. Business Development.  Mr. Chan recruited new offices and financial advisors into Associated Securities sales network by providing the history, qualifications, philosophy and services of Associated Securities.  Mr. Chan developed and implemented an In-house Transition Team in 1997.  He trained and supervised employees and analyzed and forecast budgets of over $1,000,000 which included a $500,000 national marketing campaign. 

In 2005, Mr. Chan joined Brecek & Young Advisors, Inc, an independent broker-dealer, based in the Sacramento area.  Mr. Chan was the Director of Business Development, which was instrumental in bringing in successful and professional advisors.  In two and a half years, his team recruited 142 representatives and over $17 million in GDC.

Mr. Chan was a member of the Los Angeles Chapter of the FPA. He is a Past Board Member of the Southern California FPA conference (2001-2003). 

Mr. Chan holds a Bachelor of Science in Business Management from Pepperdine University in Malibu, California.

Mr. Chan holds the following registrations or licenses:
            Series 6, 7, 63 and California Life Insurance License (0B50332)