RS
Robert D. Shoji
CETERA INVESTMENT ADVISERS LLC
MILWAUKIE, OR
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CRD#: 1145411
RS
Professional summary
Robert Donald Shoji, who also goes by R Donald Shoji, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Milwaukie, Oregon and CETERA ADVISORS LLC located in Milwaukie, Oregon.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 7 firms and has passed the Series 63, SIE, Series 2 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
R Donald Shoji
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.
1) SHOJI FINANCIAL SERVICES, DBA NAME.
2) SHOJI PROPERTIES LLC, 50% OWNER, PROPERTY MANAGEMENT, 1.5HR/WK, $1262.50 PER/MO.
3) NAME OF OTHER BUSINESS: N/A ;
INVESTMENT RELATED: YES ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: NOTARY PUBLIC ;
POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC;
START DATE: 12/2019 ;
APX NUMBER OF HOURS PER WEEK: MINIMAL ;
APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL ;
BRIEF DESCRIPTION OF DUTIES: NOTARY DUTIES ;
4) NAME OF OTHER BUSINESS: SHOJI FINANCIAL GROUP LLC;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FINANCIAL SERVICES / INSURANCE SALES;
START DATE: 03/2016;
POSITION/TITLE/RELATIONSHIP: OWNER;
APX NUMBER OF HOURS PER WEEK: 30;
APX NUMBER OF HOURS DURING TRADING HOURS: 30;
BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES AND INSURANCE;
5) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FIXED INSURANCE;
START DATE: 02/2012;
APX NUMBER OF HOURS PER WEEK: 7;
APX NUMBER OF HOURS DURING TRADING HOURS: 7;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT;
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Donald Shoji's 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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MILWAUKIE, OR
Current
February 28, 2012 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Milwaukie, OR
Past
February 28, 2012 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
December 5, 2001 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
MILWAUKIE, OR
Past
June 13, 2000 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
MILWAUKIE, OR
Past
January 5, 1999 - July 19, 2000
PACIFIC HARBOR SECURITIES, INC.
BD
CRD#: 8755
HIGHLAND, UT
Past
August 13, 1991 - December 31, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
October 4, 1983 - July 1, 1991
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(2/28/2012)
RR
Idaho(9/9/2024)
RR
Oregon(2/28/2012)
IAR
Oregon(3/21/2024)
RR
Washington(2/28/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 2/5/1996
Non-Member General Securities ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
