SY
Sienna P. Yoshida
WESTSIDE INVESTMENT MANAGEMENT
KAHULUI, HI 96732
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CRD#: 3217359
SY
Professional summary
Sienna Pualani Yoshida is a registered financial advisor currently at WESTSIDE INVESTMENT MANAGEMENT, LLC located in Kahului, Hawaii and LPL FINANCIAL LLC located in Kahului, Hawaii.
Sienna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Sienna has worked at 5 firms and has passed the Series 66, SIE, Series 31 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.
(1) 06/03/2014 - REAL ESTATE RENTAL - HEALANI PLACE PUKALANI, HI (2) 01/06/2015 - WESTSIDE INVESTMENT MANAGEMENT, INC. - REGISTERED INVESTMENT ADVISOR HYBRID - TIME SPENT 160 HOURS PER MONTH - KAHULUI, HI (3) 02/25/2022 - Westside Investment Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/08/2022 - 120 Hours Per Month/5 Hours During Securities Trading. (4) 03/06/2024 - Real Estate Rental - Investment Related - Pualani St., Wailuku, HI - Start Date 02/15/2024 - 4 Hours Per Month/ 0 Hours During Trading (5) 03/06/2024 - Real Estate Rental - Investment Related - Malako St., Wailuku, HI - Start Date 02/01/2024 - 4 Hours Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Sienna Pualani Yoshida'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®
NoneExperience
Current
January 24, 2014 - Present
WESTSIDE INVESTMENT MANAGEMENT, LLC
Office #1: Kahului Office Center 140 Hoohana St., Ste.320, Kahului, HI 96732RIA
CRD#: 154522
KAHULUI, HI
Current
December 23, 2013 - Present
LPL FINANCIAL LLC
Office #1: 33 Lono Ave Ste 345, Kahului, HI 96732RIA
BD
CRD#: 6413
KAHULUI, HI
Past
December 23, 2013 - October 28, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
WAILUKU, HI
Past
May 23, 2012 - December 10, 2013
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
KAHULUI, HI
Past
May 23, 2012 - December 10, 2013
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
KAHULUI, HI
Past
April 4, 2005 - May 15, 2012
BANKOH INVESTMENT SERVICES, INC.
RIA
CRD#: 29280
WAILUKU, HI
Past
September 18, 2003 - May 3, 2004
BANKOH INVESTMENT SERVICES, INC.
RIA
CRD#: 29280
WAILUKU, HI
Past
September 18, 2003 - May 15, 2012
BANKOH INVESTMENT SERVICES, INC.
BD
CRD#: 29280
WAILUKU, HI
Past
December 2, 1999 - September 17, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MAUI WAILULUI, HI
Past
May 20, 1999 - September 17, 2003
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".
WI
WESTSIDE INVESTMENT MANAGEMENT, LLC
WESTSIDE INVESTMENT MANAGEMENT | WESTSIDE INVESTMENT MANAGEMENT, LLC | WESTSIDE INVESTMENT MANAGEMENT, INC.
CRD#: 154522 / SEC#: 801-71762
RIA
Registered Investment Advisory firm - (8/30/2010 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
Alabama(5/22/2024)
RR
Arizona(4/11/2022)
RR
California(2/7/2014)
IAR
California(1/22/2016)
RR
Colorado(7/3/2025)
RR
Florida(9/2/2014)
RR
Hawaii(12/23/2013)
IAR
Hawaii(1/24/2014)
RR
Idaho(2/16/2022)
RR
Massachusetts(1/2/2019)
RR
Michigan(12/5/2023)
RR
Nevada(1/6/2022)
RR
North Carolina(4/27/2021)
RR
North Dakota(2/7/2025)
RR
Oklahoma(7/16/2020)
RR
Oregon(4/29/2024)
RR
South Carolina(8/22/2022)
RR
Tennessee(9/20/2024)
RR
Utah(1/6/2022)
RR
Washington(5/9/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WI
WESTSIDE INVESTMENT MANAGEMENT, LLC
WESTSIDE INVESTMENT MANAGEMENT | WESTSIDE INVESTMENT MANAGEMENT, LLC | WESTSIDE INVESTMENT MANAGEMENT, INC.
CRD#: 154522 / SEC#: 801-71762
RIA
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Contact information
Main Address
2444 Wilshire Blvd Suite 303, Santa Monica, CA 90403
Mailing Address
Phone number
(310) 315-9400
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,339 |
| AUM (Assets Under Management) | $ 774,187,696 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WESTSIDE INVESTMENT MANAGEMENT, LLC
CRD#: 154522Kahului, HI 96732TRUST BUT VERIFY
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