Seiichi Shinomiya

DORADO WEALTH MANAGEMENT

New York, NY

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CRD#: 1752347

Professional summary

Seiichi Shinomiya is a registered financial advisor currently at DORADO WEALTH MANAGEMENT LLC located in New York, New York.

Seiichi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Seiichi has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 3 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seiichi Shinomiya'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

October 21, 2022 - Present

DORADO WEALTH MANAGEMENT LLC

RIA

CRD#: 314965

New York, NY

Past

January 29, 2021 - October 20, 2022

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Massapequa, NY

Past

January 29, 2021 - January 31, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Massapequa, NY

Past

April 29, 2019 - February 12, 2021

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

April 29, 2019 - February 12, 2021

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 22, 2016 - April 22, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

New York, NY

Past

June 1, 2016 - April 22, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

New York, NY

Past

March 12, 2008 - June 2, 2016

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 6, 2006 - August 29, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WESTPORT, CT

Past

September 15, 2006 - August 29, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WESTPORT, CT

Past

September 30, 1994 - February 4, 1999

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

July 30, 1992 - February 15, 1995

CHASE SECURITIES, INC.

CRD#: 10793

NEW YORK, MD

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".

DORADO WEALTH MANAGEMENT LLC

CRD#: 314965 / SEC#: 801-126902

RIA

Registered Investment Advisory firm - (11/17/2022 Approved)

New York

Registered Investment Advisory firm - (12/31/2022 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

New York
(10/21/2022)

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 66

Date: 12/1/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/14/2006

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 9/19/1987

National Commodity Futures Examination

Current Firm

DORADO WEALTH MANAGEMENT LLC

CRD#: 314965 / SEC#: 801-126902

RIA

Registered Investment Advisory firm - (11/17/2022 Approved)

New York

Registered Investment Advisory firm - (12/31/2022 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2022 Terminated)

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Contact information

Main Address

Port Washington, NY

Mailing Address

Phone number

(516) 695-6114

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A FIRM BROCHURE (2/4/2026)

Regulatory assets under management

Total Number of Accounts	85
AUM (Assets Under Management)	$ 268,769,992

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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Seiichi Shinomiya

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seiichi Shinomiya's CRS (Customer Relationship Summary).

Certified licenses

Experience

DORADO WEALTH MANAGEMENT LLC

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS SECURITIES LLC

CHASE SECURITIES, INC.

Primary Firm SEC Registration

DORADO WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2017

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2006

Series 3

Date: 9/19/1987

Current Firm

DORADO WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DORADO WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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