David S. Ono
Professional summary
David Shigeru Ono, CFP®, ChFC®, CLU® is a registered financial advisor currently at BATES WEALTH MANAGEMENT, LLC located in Alameda, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. David has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Shigeru Ono's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2016 - Present
BATES WEALTH MANAGEMENT, LLC
January 22, 2014 - December 31, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 22, 2014 - December 31, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 10, 2013 - January 21, 2014
MODERN CAPITAL ADVISORS, LLC
January 7, 2013 - December 4, 2013
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
September 4, 2009 - February 23, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 27, 2008 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 1, 2003 - June 18, 2008
TRANSAMERICA INVESTORS SECURITIES, LLC
June 2, 2000 - February 1, 2003
TRANSAMERICA SECURITIES SALES CORPORATION
November 10, 1999 - May 3, 2000
COREBRIDGE CAPITAL SERVICES, INC.
July 13, 1994 - May 10, 1999
T. ROWE PRICE INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/28/2016)
Exams
Current Firm
BATES WEALTH MANAGEMENT, LLC
CRD#: 284892 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 12,458,713 |
Red Flags
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