Lloyd S. Yamada

ASPIRE PLANNING ASSOCIATES

Walnut Creek, CA 94596

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CRD#: 3152925

Professional summary

Lloyd Shigeto Yamada, CFP® is a registered financial advisor currently at ASPIRE PLANNING ASSOCIATES, INC. located in Walnut Creek, California.

Lloyd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Lloyd has worked at 6 firms and has passed the Series 66 and Series 7 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lloyd Shigeto Yamada'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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

February 9, 2016 - Present

ASPIRE PLANNING ASSOCIATES, INC.

Office #1: 1990 N. California Blvd 8th Floor, Walnut Creek, CA 94596

RIA

CRD#: 282179

Walnut Creek, CA

Past

November 17, 2008 - May 14, 2016

LSY FINANCIAL GROUP

RIA

CRD#: 148187

CUPERTINO, CA

Past

November 28, 2003 - August 14, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

CAMPBELL, CA

Past

July 17, 2003 - August 14, 2008

LPL FINANCIAL LLC

CRD#: 6413

CAMPBELL, CA

Past

February 19, 2003 - October 24, 2008

KING WEALTH PLANNING, INC.

RIA

CRD#: 112717

CAMPBELL, CA

Past

January 5, 2000 - May 1, 2000

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

January 6, 1999 - January 20, 1999

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

ASPIRE PLANNING ASSOCIATES, INC.

CRD#: 282179 / SEC#: 801-114918

RIA

Registered Investment Advisory firm - (4/1/2019 Approved)

California

Registered Investment Advisory firm - (5/2/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/2/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(2/9/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/25/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/2003

General Securities Representative Examination

Current Firm

ASPIRE PLANNING ASSOCIATES, INC.

CRD#: 282179 / SEC#: 801-114918

RIA

Registered Investment Advisory firm - (4/1/2019 Approved)

California

Registered Investment Advisory firm - (5/2/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/2/2019 Terminated)

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Contact information

Main Address

1990 N. California Blvd 8th Floor, Walnut Creek, CA 94596

Mailing Address

Phone number

(925) 938-2023

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APA DISCLOSURE BROCHURE, BROCHURE SUPPLEMENTS AND PRIVACY POLICY (2/18/2025)

Regulatory assets under management

Total Number of Accounts	366
AUM (Assets Under Management)	$ 126,156,716

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.

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Lloyd S. Yamada

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lloyd Shigeto Yamada's CRS (Customer Relationship Summary).

Certified licenses

Experience

LSY FINANCIAL GROUP

LPL FINANCIAL LLC

LPL FINANCIAL LLC

KING WEALTH PLANNING, INC.

COMMONWEALTH FINANCIAL NETWORK

WADDELL & REED

Primary Firm SEC Registration

ASPIRE PLANNING ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/25/2003

Series 7

Date: 7/16/2003

Current Firm

ASPIRE PLANNING ASSOCIATES, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASPIRE PLANNING ASSOCIATES, INC.

TRUST BUT VERIFY

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