James I. Aoki

FORTUNE FINANCIAL SERVICES

Santa Barbara, CA 93101

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CRD#: 1071754

Professional summary

James Isao Aoki, who also goes by Jim Aoki, is a registered financial professional currently at FORTUNE FINANCIAL SERVICES, INC. located in Santa Barbara, California.

James is registered as a RR (Registered Representative) and started their career in finance in 1983. James has worked at 7 firms and has passed the SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Aoki

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Isao Aoki's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 19, 2007 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 1231-b State Street, Santa Barbara, CA 93101

CRD#: 42150

Santa Barbara, CA

Past

October 27, 2003 - November 20, 2007

CONTEMPORARY FINANCIAL SOLUTIONS, INC.

CRD#: 121699

SANTA BARBARA, CA

Past

October 27, 1998 - August 27, 2003

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

January 19, 1994 - September 30, 1998

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

July 24, 1991 - November 5, 1993

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

March 6, 1987 - September 9, 1989

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Past

October 7, 1985 - September 9, 1989

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

January 31, 1983 - November 1, 1985

PRUCO SECURITIES, LLC.

CRD#: 5685

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/19/2007)

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/28/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/1985

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150 / SEC#: , 8-49727

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

3582 Brodhead Road Suite 202, Monaca, PA 15061

Mailing Address

P.o. Box 238, Monaca, PA 15061

Phone number

(724) 846-2488

Established

Pennsylvania since 10/21/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DANIELS, BLAKE WILLIAM	CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO	1285106
DANIELS, BRIAN LEE	OWNER	1213561
BENTLEY, GREGORY JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	705379
PINTARIC, WILLIAM RICHARD JR	CHIEF COMPLIANCE OFFICER
WHITENACK, MITCH LEE	CHIEF OPERATIONS OFFICER, FINOP, PFO, POO	4794021

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James I. Aoki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Isao Aoki's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONTEMPORARY FINANCIAL SOLUTIONS, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

FINANCIAL WEST GROUP

TRANSAMERICA SECURITIES SALES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1983

Series 6

Date: 1/28/1983

Series 24

Date: 12/21/1985

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FORTUNE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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