AW
Andrew Y. Wasa
FOCUS INVESTMENT ADVISORS,
Solana Beach, CA 92075
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CRD#: 1302473
AW
Professional summary
Andrew Yorisato Wasa, AIF®, CIMA® is a registered financial advisor currently at FOCUS INVESTMENT ADVISORS, INC located in Solana Beach, California and LPL FINANCIAL LLC located in Solana Beach, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Andrew has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. 08/27/2013 - Focus Investment Advisors - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 2. 03/07/2016 - Focus Investment Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Time Spent 50% 3. 03/12/2018 - Focus Investment Advisors, Inc - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 03/01/1994 - 160 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through Focus Investment Advisors, Inc, an independent investment advisor firm. I started this business activity in 03/1994. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 04/13/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 03/30/2023 - 5 Hours Per Month/ 0 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Yorisato Wasa'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®
Experience
Current
December 5, 2012 - Present
FOCUS INVESTMENT ADVISORS, INC
Office #1: 514 Via De La Valle Suite 200, Solana Beach, CA 92075RIA
CRD#: 109970
Solana Beach, CA
Current
September 29, 2011 - Present
LPL FINANCIAL LLC
Office #1: 514 Via De La Valle, Suite 200, Solana Beach, CA 92075RIA
BD
CRD#: 6413
Solana Beach, CA
Past
March 2, 2010 - October 4, 2011
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
ENCINITAS, CA
Past
February 26, 2010 - October 4, 2011
GIRARD SECURITIES, INC.
BD
CRD#: 18697
ENCINITAS, CA
Past
February 8, 2006 - March 26, 2010
SECURITIES AMERICA, INC.
BD
CRD#: 10205
ENCINITAS, CA
Past
October 31, 2005 - February 17, 2006
OSAIC SERVICES, INC.
RIA
CRD#: 133763
ENCINITAS, CA
Past
October 31, 2005 - February 17, 2006
OSAIC SERVICES, INC.
BD
CRD#: 133763
ENCINITAS, CA
Past
December 16, 1997 - October 31, 2005
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
ENCINITAS, CA
Past
June 3, 1994 - December 31, 2011
FOCUS INVESTMENT ADVISORS, INC
RIA
CRD#: 109970
ENCINITAS, CA
Past
July 27, 1988 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
April 2, 1985 - August 5, 1988
FIRST AFFILIATED SECURITIES, INC.
BD
CRD#: 6871
Past
November 21, 1984 - February 4, 1985
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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".
FI
FOCUS INVESTMENT ADVISORS, INC
FOCUS INVESTMENT ADVISORS | IKAIKA, LLC | FOCUS INVESTMENT ADVISORS, INC
CRD#: 109970 / SEC#: 801-57176
RIA
Registered Investment Advisory firm - (4/10/2000 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
Arizona(1/26/2012)
RR
California(9/29/2011)
IAR
California(12/5/2012)
RR
Colorado(2/9/2024)
RR
Florida(9/13/2012)
RR
Hawaii(10/27/2011)
RR
Idaho(2/9/2024)
RR
Iowa(1/27/2025)
RR
Nevada(2/9/2024)
RR
New Jersey(2/20/2019)
RR
New York(2/9/2024)
RR
North Carolina(9/2/2016)
RR
Ohio(2/11/2024)
RR
Oregon(11/3/2011)
RR
South Carolina(8/23/2016)
RR
South Dakota(4/10/2019)
RR
Texas(8/7/2019)
RR
Utah(2/9/2024)
RR
Virginia(8/6/2012)
RR
Washington(2/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FOCUS INVESTMENT ADVISORS, INC
FOCUS INVESTMENT ADVISORS | IKAIKA, LLC | FOCUS INVESTMENT ADVISORS, INC
CRD#: 109970 / SEC#: 801-57176
RIA
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Contact information
Main Address
514 Via De La Valle Suite 200, Solana Beach, CA 92075
Mailing Address
Phone number
(760) 230-1880
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 34 |
| AUM (Assets Under Management) | $ 884,989,269 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FOCUS INVESTMENT ADVISORS, INC
CRD#: 109970Solana Beach, CA 92075TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
