Fumiji Aoki
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.
Fumiji Aoki, CFP®, who also goes by Fumiji Aoki Rebele, was a registered financial professional .
Fumiji is a previously registered financial professional and started their career in finance in 1997. Fumiji had worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - September 12, 2016
INNOVATIVE ADVISORY GROUP
January 4, 2008 - August 30, 2010
SIGNATOR INVESTORS, INC.
March 7, 2007 - August 30, 2010
SIGNATOR INVESTORS, INC.
November 18, 2004 - December 14, 2006
NEW ENGLAND SECURITIES
November 18, 2004 - December 14, 2006
NEW ENGLAND SECURITIES
February 24, 2004 - November 4, 2004
EQUITABLE ADVISORS, LLC
February 24, 2004 - November 4, 2004
EQUITABLE ADVISORS, LLC
March 21, 2003 - January 9, 2004
MONEY CONCEPTS CAPITAL CORP
March 7, 2003 - January 9, 2004
MONEY CONCEPTS CAPITAL CORP
October 1, 2000 - February 27, 2002
WELLS FARGO CLEARING SERVICES, LLC
November 3, 1997 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
April 16, 1997 - August 13, 1997
CARILLON INVESTMENTS, INC.
Primary Firm SEC Registration
INNOVATIVE ADVISORY GROUP
CRD#: 146618 / SEC#: 801-122046
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INNOVATIVE ADVISORY GROUP
CRD#: 146618 / SEC#: 801-122046
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 790 |
| AUM (Assets Under Management) | $ 160,500,000 |
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.
