Joanne J. Nishiyama

INSIGHT INVESTMENT COUNSEL

El Segundo, CA 90245-4408

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CRD#: 3157715

Professional summary

Joanne Junko Nishiyama, who also goes by Joanne Yoshigai, is a registered financial advisor currently at INSIGHT INVESTMENT COUNSEL located in El Segundo, California.

Joanne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Joanne has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joanne Yoshigai

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) THE KINNEY GROUP, LLC. Investment Related. 201 South Lake Avenue, Suite 510, Pasadena CA 91101. RIA. Investment Advisor. Start 8/2013. 160 hours per month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanne Junko Nishiyama'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

December 26, 2024 - Present

INSIGHT INVESTMENT COUNSEL

Office #1: 330 Illinois Street, El Segundo, CA 90245-4408

CRD#: 8174

WEEHAWKEN, NJ

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".

INSIGHT INVESTMENT COUNSEL

INSIGHT INV LLC | INSIGHT INVESTMENT COUNSEL

CRD#: 172511 / SEC#: 801-121494

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

California

Registered Investment Advisory firm - (7/24/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/24/2021 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
(12/26/2024)

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: 7/12/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/9/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/28/1999

General Securities Representative Examination

Current Firm

INSIGHT INVESTMENT COUNSEL

INSIGHT INV LLC | INSIGHT INVESTMENT COUNSEL

CRD#: 172511 / SEC#: 801-121494

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

California

Registered Investment Advisory firm - (7/24/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/24/2021 Terminated)

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Contact information

Main Address

330 Illinois Street, El Segundo, CA 90245-4408

Mailing Address

Phone number

(310) 426-6322

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

ADV PART 2A FIRM DISCLOSURE BROCHURE (2/18/2025)

ADV PART 2B SUPPLEMENT -JOANNE NISHIYAMA (2/18/2025)

ADV PART 2B SUPPLEMENT - ADRIENNE BRINTON (2/18/2025)

ADV PART 2B SUPPLEMENT - RUSS KARTUB (2/18/2025)

Regulatory assets under management

Total Number of Accounts	250
AUM (Assets Under Management)	$ 230,003,057

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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Advisor Monitoring

Firm Stability Insights

Joanne J. Nishiyama

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanne Junko Nishiyama's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

THE KINNEY GROUP, LLC

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

INSIGHT INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2001

SIE

Date: 10/1/2018

Series 31

Date: 8/9/2001

Series 7

Date: 7/28/1999

Current Firm

INSIGHT INVESTMENT COUNSEL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INSIGHT INVESTMENT COUNSEL

TRUST BUT VERIFY

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