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DS

Dwayne T. Shirakura

INFINITY FINANCIAL SERVICES ADVISORY
Oakland, CA 94607
Some features on this profile are disabled
CRD#: 3067210
DS

Professional summary

Dwayne Tsukasa Shirakura is a registered financial advisor currently at INFINITY FINANCIAL SERVICES ADVISORY located in Oakland, California and INFINITY FINANCIAL SERVICES located in Oakland, California.

Dwayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Dwayne has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

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.
1. Insurance, Investment related, 212 9th street suite 202, Oakland, CA 94607, Insurance Broker, 10/2010, 2 hours per month, 1 during trading hours, fixed insurance sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dwayne Tsukasa Shirakura'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

April 10, 2020 - Present

INFINITY FINANCIAL SERVICES ADVISORY

Office #1: 212 9th Street Suite 202, Oakland, CA 94607
RIA
CRD#: 304981
Oakland, CA
Current

October 17, 2011 - Present

INFINITY FINANCIAL SERVICES

Office #1: 212 9th Street Suite 202, Oakland, CA 94607
BD
CRD#: 144302
Oakland, CA
Past

October 18, 2011 - December 31, 2020

INFINITY FINANCIAL SERVICES

RIA
CRD#: 144302
OAKLAND, CA
Past

April 13, 2007 - October 19, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ANTIOCH, CA
Past

April 13, 2007 - October 19, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ANTIOCH, CA
Past

February 8, 2006 - April 3, 2007

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
ANTIOCH, CA
Past

February 13, 2003 - April 3, 2007

WAMU INVESTMENTS, INC.

BD
CRD#: 599
ANTIOCH, CA
Past

July 11, 2002 - February 3, 2003

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

June 4, 2002 - June 28, 2002

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
SAN FRANCISCO, CA
Past

May 29, 2001 - June 28, 2002

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

June 9, 1998 - May 15, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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".
IF
INFINITY FINANCIAL SERVICES ADVISORY
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC

CRD#: 304981 / SEC#: 801-117719

RIA
Registered Investment Advisory firm - (12/5/2019 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
California
(10/17/2011)
IAR
California
(4/10/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/26/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/23/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/2/1998
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/3/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IF
INFINITY FINANCIAL SERVICES ADVISORY
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC

CRD#: 304981 / SEC#: 801-117719

RIA
Registered Investment Advisory firm - (12/5/2019 Approved)
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Contact information

Main Address
212 9th Street Suite 202, Oakland, CA 94607
Mailing Address
Phone number
(510) 588-8000
Established
Firm type
Fiscal year end
# of Employees
36

SEC notice filing (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)
ADV 2A APPENDIX WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts918
AUM (Assets Under Management)$ 150,097,662

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.

Company Information

INFINITY FINANCIAL SERVICES ADVISORY

CRD#: 304981Oakland, CA 94607

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