James H. Fujinaga
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Hiroshi Fujinaga, who also goes by James Hiroshi Fujinaga, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 16 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 12, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2022 - July 10, 2023
CETERA INVESTMENT ADVISERS LLC
August 10, 2022 - July 10, 2023
CETERA INVESTMENT SERVICES LLC
September 19, 2016 - August 10, 2022
HANCOCK WHITNEY INVESTMENT SERVICES INC.
September 19, 2016 - August 10, 2022
HANCOCK WHITNEY INVESTMENT SERVICES INC.
December 8, 2015 - September 21, 2016
INDEPENDENT FINANCIAL PARTNERS
September 25, 2014 - September 29, 2016
LPL FINANCIAL LLC
September 25, 2014 - September 29, 2016
LPL FINANCIAL LLC
December 10, 2009 - March 14, 2014
BANCWEST INVESTMENT SERVICES, INC.
December 9, 2009 - March 14, 2014
BANCWEST INVESTMENT SERVICES, INC.
May 2, 2009 - December 11, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - December 11, 2009
CHASE INVESTMENT SERVICES CORP.
January 2, 2004 - May 2, 2009
WAMU INVESTMENTS, INC.
March 15, 2002 - May 2, 2009
WAMU INVESTMENTS, INC.
August 8, 2001 - March 8, 2002
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
May 2, 2001 - January 22, 2002
WELLS FARGO INVESTMENTS, LLC
February 10, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
July 5, 1991 - January 22, 1999
CITICORP INVESTMENT SERVICES
September 6, 1988 - July 16, 1991
PRINCIPAL SECURITIES, INC.
March 24, 1988 - July 5, 1988
AMERITAS INVESTMENT COMPANY, LLC
October 28, 1985 - April 4, 1988
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
July 24, 1985 - August 5, 1985
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 12
Date: 7/1/2000
NYSE Branch Manager ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
