Arthur Y. Mitsutome

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CRD#: 1526707

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.

Arthur Yasuo Mitsutome, who also goes by Art Mitsutome, was a registered financial professional .

Arthur is a previously registered financial professional and started their career in finance in 1986. Arthur had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Art Mitsutome

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. 2012: HARVEST GROUP: 501(C)(3) - EDUCATIONAL CORPS - 8 HOURS PER MONTH - TREASURER

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 19, 2013 - January 9, 2024

INTEGRITY WEALTH PARTNERS, LLC

RIA

CRD#: 167314

WALNUT CREEK, CA

Past

August 31, 2007 - June 7, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

WALNUT CREEK, CA

Past

August 31, 2007 - June 7, 2013

LPL FINANCIAL LLC

CRD#: 6413

WALNUT CREEK, CA

Past

September 24, 2004 - September 7, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

WALNUT CREEK, CA

Past

September 24, 2004 - September 7, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

WALNUT CREEK, CA

Past

February 26, 1999 - September 30, 2004

PIPER SANDLER & CO.

RIA

CRD#: 665

WALNUT CREEK, CA

Past

October 30, 1998 - September 30, 2004

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

March 3, 1995 - November 3, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 30, 1990 - March 16, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 23, 1986 - August 17, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

INTEGRITY WEALTH PARTNERS, LLC

BAKER, BROSE & MITSUTOME WEALTH MANAGEMENT LLC | INTEGRITY WEALTH PARTNERS, LLC | BAKER, BROSE & MITSUTOME WEALTH MANAGEMENT, LLC

CRD#: 167314 / SEC#: 801-77910

RIA

Registered Investment Advisory firm - (4/19/2013 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/12/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 4/5/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 8/25/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/19/2007

General Securities Principal Examination

Current Firm

INTEGRITY WEALTH PARTNERS, LLC

BAKER, BROSE & MITSUTOME WEALTH MANAGEMENT LLC | INTEGRITY WEALTH PARTNERS, LLC | BAKER, BROSE & MITSUTOME WEALTH MANAGEMENT, LLC

CRD#: 167314 / SEC#: 801-77910

RIA

Registered Investment Advisory firm - (4/19/2013 Approved)

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Contact information

Main Address

1320 Mt. Diablo Blvd. Suite 200, Walnut Creek, CA 94596

Mailing Address

Phone number

(925) 300-3222

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A | FIRM BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	536
AUM (Assets Under Management)	$ 171,057,868

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.

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Advisor Monitoring

Firm Stability Insights

Arthur Y. Mitsutome

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

INTEGRITY WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/12/1995

Series 63

Date: 7/29/1986

Series 31

Date: 4/5/2004

Series 3

Date: 8/25/1986

Series 7

Date: 7/19/1986

Series 24

Date: 11/19/2007

Current Firm

INTEGRITY WEALTH PARTNERS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INTEGRITY WEALTH PARTNERS, LLC

TRUST BUT VERIFY

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