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Scott T. Nishimura
CONTINUUM ADVISORY
Hacienda Heights, CA
Some features on this profile are disabled
CRD#: 1890987
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Professional summary
Scott Toshio Nishimura, who also goes by Scott Toshio Nishimura, is a registered financial advisor currently at CONTINUUM ADVISORY, LLC located in Hacienda Heights, California and OSAIC WEALTH, INC. located in Eagle, Idaho.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Toshio Nishimura
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) Continuum Advisory LLC;investment related;873 E State Street,Eagle,ID 83616;registered investment advisor;senior vice president;2/2022;40+ hrs/month;6.5 hrs during trading;management of RIA 2) No business name for OBA;Investment related: yes; 16485 Santa Bianca Drive, Hacienda Heights, CA 91745; Nature or Structure of Business: N/A - I am a named successor trustee on my elderly aunt's trust. My cousin was co-trustee along with my aunt, but my cousin has passed away. As the second successor trustee, I will be serving as a co-trustee along with my aunt; Position: N/A - nephew of the grantor/trustee; Start date: 09/26/2023; hours per month: 2-3; securities trading hours 1-2 until I'm formally added as a trustee. Essentially zero afterward.; Duties: I will be asked to serve as a co-trustee along with my aunt who is the trustee, trustor, and grantor of her family trust. She is over 90 years old and needs assistance in working with her trust's assets and payment of her monthly expenses. I'd previously asked for and was granted the anility to serve as a POA on the same trust to assist with monthly expense payments.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Toshio Nishimura'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
February 15, 2022 - Present
CONTINUUM ADVISORY, LLC
RIA
CRD#: 283155
Hacienda Heights, CA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 873 E State Street, Eagle, ID 83616RIA
BD
CRD#: 23131
Eagle, ID
Past
February 11, 2022 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Eagle, ID
Past
October 13, 2015 - January 25, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
JOHNS CREEK, GA
Past
October 13, 2015 - January 25, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
JOHNS CREEK, GA
Past
July 20, 2015 - August 17, 2015
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
West Des Moines, IA
Past
July 9, 2015 - August 17, 2015
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
West Des Moines, IA
Past
July 9, 2015 - August 17, 2015
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
West Desmoines, IA
Past
July 9, 2015 - August 17, 2015
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WEST DES MOINES, IA
Past
July 9, 2015 - August 17, 2015
GIRARD SECURITIES, INC.
BD
CRD#: 18697
WEST DES MOINES, IA
Past
November 5, 2013 - August 17, 2015
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 5, 2013 - August 17, 2015
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
September 4, 2009 - July 23, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
LOS ANGELES, CA
Past
September 4, 2009 - July 23, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
LOS ANGELES, CA
Past
July 10, 2007 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
RIA
CRD#: 3600
LOS ANGELES, CA
Past
September 27, 2006 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
July 8, 1997 - September 19, 2006
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
PASADENA, CA
Past
June 13, 1994 - September 19, 2006
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PASADENA, CA
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".
CA
CONTINUUM ADVISORY, LLC
3 FINANCIAL GROUP | WEALTH MANAGEMENT ASSOCIATES OF COLORADO | WEALTH MANAGEMENT ASSOCIATES - DANVILLE, CA | WEALTH MANAGEMENT ASSOCIATES - BOZEMAN, MT | WEALTH MANAGEMENT ASSOCIATES | TRANSITIONAL WEALTH STRATEGIES | THOMANN FINANCIAL SERVICES | SUCCESSFUL EQUITY MANAGEMENT | RASSLER FINANCIAL | RANDALL FINANCIAL | PACIFIC FINANCIAL GROUP | NAST GROUP FINANCIAL | MOSAIC FINANCIAL GROUP | MCCARTIN FINANCIAL SERVICES | LENTINI FINANCIAL ADVISORY | KELLY FINANCIAL ADVISORS, LLC | HANOVER FINANCIAL GROUP | HANOVER FINANCIAL - NY, NY | HANOVER FINANCIAL - BOZEMAN, MT | CONTINUUM ADVISORY, LLC | CLARK STREET FINANCIAL | BODE FINANCIAL CONSULTING, LLC | ATHENABLE INVESTMENT STRATEGIES | AMERICAN FINANCIAL MANAGEMENT
CRD#: 283155 / SEC#: 801-107439
RIA
Registered Investment Advisory firm - (3/30/2016 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
IAR
California(2/15/2022)
RR
California(8/23/2024)
RR
Idaho(8/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/1/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
CA
CONTINUUM ADVISORY, LLC
3 FINANCIAL GROUP | WEALTH MANAGEMENT ASSOCIATES OF COLORADO | WEALTH MANAGEMENT ASSOCIATES - DANVILLE, CA | WEALTH MANAGEMENT ASSOCIATES - BOZEMAN, MT | WEALTH MANAGEMENT ASSOCIATES | TRANSITIONAL WEALTH STRATEGIES | THOMANN FINANCIAL SERVICES | SUCCESSFUL EQUITY MANAGEMENT | RASSLER FINANCIAL | RANDALL FINANCIAL | PACIFIC FINANCIAL GROUP | NAST GROUP FINANCIAL | MOSAIC FINANCIAL GROUP | MCCARTIN FINANCIAL SERVICES | LENTINI FINANCIAL ADVISORY | KELLY FINANCIAL ADVISORS, LLC | HANOVER FINANCIAL GROUP | HANOVER FINANCIAL - NY, NY | HANOVER FINANCIAL - BOZEMAN, MT | CONTINUUM ADVISORY, LLC | CLARK STREET FINANCIAL | BODE FINANCIAL CONSULTING, LLC | ATHENABLE INVESTMENT STRATEGIES | AMERICAN FINANCIAL MANAGEMENT
CRD#: 283155 / SEC#: 801-107439
RIA
Registered Investment Advisory firm - (3/30/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
873 E. State Street, Eagle, ID 83616
Mailing Address
Phone number
(208) 417-1933
Established
Firm type
Fiscal year end
# of Employees
69
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,852 |
| AUM (Assets Under Management) | $ 1,417,081,752 |
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.
