# EDGAR Filing Document

**Accession Number:** 0000764106
**File Stem:** 0000764106-23-000002
**Filing Date:** 2023-3
**Character Count:** 9672
**Document Hash:** 419e5c9a173d2ae62d1329b21e9459cf
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000764106-23-000002.hdr.sgml**: 20230403

**ACCESSION NUMBER**: 0000764106-23-000002

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230302

**DATE AS OF CHANGE**: 20230403

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FIRST HAWAIIAN BANK
- **CENTRAL INDEX KEY:** 0000764106
- **IRS NUMBER:** 990034327
- **STATE OF INCORPORATION:** HI
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01250
- **FILM NUMBER:** 23791509

**BUSINESS ADDRESS:**
- **STREET 1:** 999 BISHOP STREET 3RD FLOOR
- **CITY:** HONOLULU
- **STATE:** HI
- **ZIP:** 96813
- **BUSINESS PHONE:** 8085255158

**MAIL ADDRESS:**
- **STREET 1:** FIRST HAWAIIAN BANK
- **STREET 2:** 999 BISHOP STREET 3RD FLOOR
- **CITY:** HONOLULU
- **STATE:** HI
- **ZIP:** 96813

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BANCWEST CORP
- **DATE OF NAME CHANGE:** 20030220

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FIRST HAWAIIAN BANK
- **DATE OF NAME CHANGE:** 19950524

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FIRST HAWAIIAN BANK TRUST DIVISION
- **DATE OF NAME CHANGE:** 19890214

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000764106

**Filer CCC:** XXXXXXXX

**Contact Name:** JODENE K ARAKAKI

**Contact Phone:** 808-525-5763

**Contact Email:** jarakaki@FHB.COM

**Notification Emails:** RUSHIJIMA@FHB.COM, jarakaki@fhb.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** FIRST HAWAIIAN BANK

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 99-0034327

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-01250

- **Other:** Description: FEDERAL DEPOSIT INSURANCE CORPORATION, ID: 17985

**E. Principal Office and Place of Business:** 999 BISHOP STREET, SUITE 2806, HONOLULU, HI, 96813

**Telephone Number:** 8085255177

**Mailing Address is Different from Principal Office:** Yes

**Mailing Address:** P.O. BOX 3708, HONOLULU, HI, 96811

**F. Website:** WWW.FHB.COM

**G. Chief Compliance Officer (CCO):**

**Name:** JODENE KAMAILE ARAKAKI

**Address:** 999 BISHOP STREET, 3RD FLOOR, HONOLULU, HI, 96813

**Phone Number:** 8085255763

**Email:** JARAKAKI@fhb.com

**H. Business Affiliates:**

- **Name:** FIRST HAWAIIAN, INC.

  - **Issuing Agency:** SECURITIES EXCHANGE COMMISSION

  - **Jurisdiction:** 

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Other (—)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** HI

**D. Date of Organization:** 01-17-1974

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 7

**B. Municipal Advisory Activities - Employees:** 6

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 0

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 1

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 3

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
, Fixed Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Investment Of Proceeds MS

### Item 5: Other Business Activities

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: —

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Investment Adviser, Investment Adviser

**Total Associated Persons:** 1

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** Yes

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** Yes

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** Yes

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** Yes

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** Yes

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                   | Title/Status             | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| FIRST HAWAIIAN, INC.   | PARENT                   | 07-01-2016      | E - 75% or more   | Yes               |  |  |
| JODENE KAMAILE ARAKAKI | CHIEF COMPLIANCE OFFICER | 09-11-2017      | NA - less than 5% | Yes               |  | 000000000    |
| KENNETH LEE MILLER     | SENIOR VICE PRESIDENT    | 12-01-2017      | NA - less than 5% | Yes               |  | 2727644      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                   | Title/Status             | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | FIRST HAWAIIAN, INC.   | PARENT                   | 07-01-2016      | E - 75% or more   | Yes               |  |  |
|  | Direct      |  | JODENE KAMAILE ARAKAKI | CHIEF COMPLIANCE OFFICER | 09-11-2017      | NA - less than 5% | Yes               |  | 000000000    |
| Amend  | Direct      |  | KENNETH LEE MILLER     | EXECUTIVE VICE PRESIDENT | 12-01-2017      | NA - less than 5% | Yes               |  | 2727644      |

### Execution Page

**Signature:** JODENE ARAKAKI

**Signer Name:** JODENE ARAKAKI

**Title:** CHIEF COMPLIANCE OFFICER

**Date:** 03-02-2023