SO
Shawn T. Okumura
KESTRA ADVISORY SERVICES
SAN JOSE, CA 95125
Some features on this profile are disabled
CRD#: 2855509
SO
Professional summary
Shawn Takao Okumura, CFP®, who also goes by Shawn Okumura, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in San Jose, California and KESTRA INVESTMENT SERVICES, LLC located in San Jose, California.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Shawn has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn Okumura
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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: Shawn Okumura & Myrna Nakamura Investment Related: No Address: 962-964 Spadafore Court San Jose CA 95125 Nature of Business: Real Estate Position, Title or Relationship: owner Start Date: 6/20/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I plan to hire a property management company to manage the rental side of the duplex. Business Name: Shawn & Dori Okumura Investment Related: No Address: 4067 Shinault Cove Olive Branch MS 38654 Nature of Business: Real Estate Position, Title or Relationship: My wife and I are owners of the property, we have a property management company that manages it Start Date: 1/31/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Owners of the property Business Name: Shawn & Dori Okumura Investment Related: Yes Address: 4361 Davall Circle Olive Branch MS 38654 Nature of Business: Real Estate Position, Title or Relationship: Joint owner w/ my wife, Dori Start Date: 12/31/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Joint owner of the property, we have a property management company to manage it Business Name: OHANA WEALTH ADVISORS, INC. DBA TRANSITIONS WEALTH POSITION: Owner NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 152 SECURITIES TRADING HOURS: 132 START DATE: 09/13/2012 ADDRESS: 1100 Lincoln Ave. Suite 241, San Jose CA 95125 DESCRIPTION: Principal and Financial Advisor
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Takao Okumura'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®
CFP®
Start date: 2004
Experience
Current
April 18, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1100 Lincoln Avenue, Ste 240,, San Jose, CA 95125RIA
CRD#: 283330
SAN JOSE, CA
Current
September 13, 2012 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1100 Lincoln Avenue Ste 241, San Jose, CA 95125BD
CRD#: 42046
San Jose, CA
Past
September 13, 2012 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
LOS GATOS, CA
Past
July 8, 1997 - September 18, 2012
WADDELL & REED
RIA
CRD#: 866
CAMPBELL, CA
Past
April 24, 1997 - September 18, 2012
WADDELL & REED
BD
CRD#: 866
CAMPBELL, 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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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(11/21/2017)
RR
California(9/13/2012)
IAR
California(4/18/2016)
RR
Colorado(1/24/2022)
RR
Florida(9/13/2012)
RR
Hawaii(10/11/2012)
RR
Idaho(1/28/2021)
RR
Illinois(9/13/2012)
RR
Nevada(8/19/2021)
RR
New Jersey(11/4/2025)
RR
New York(5/17/2021)
RR
Ohio(1/25/2022)
RR
Oregon(5/23/2019)
RR
South Carolina(10/27/2020)
RR
Texas(2/26/2018)
IAR
Texas(7/26/2023)
RR
Washington(9/13/2012)
RR
Wyoming(4/20/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
