Sienna P. Yoshida

WESTSIDE INVESTMENT MANAGEMENT

KAHULUI, HI 96732

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CRD#: 3217359

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sienna Pualani Yoshida'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

January 24, 2014 - Present

WESTSIDE INVESTMENT MANAGEMENT, LLC

Office #1: 33 Lono Avenue Suite 345, Kahului, HI 96732

RIA

CRD#: 154522

KAHULUI, HI

Current

December 23, 2013 - Present

LPL FINANCIAL LLC

Office #1: 33 Lono Ave Ste 345, Kahului, HI 96732

RIA

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.

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.

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.

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".

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.

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

Alabama
(5/22/2024)

Arizona
(4/11/2022)

California
(2/7/2014)

IAR

California
(1/22/2016)

Colorado
(7/3/2025)

Florida
(9/2/2014)

Hawaii
(12/23/2013)

IAR

Hawaii
(1/24/2014)

Idaho
(2/16/2022)

Massachusetts
(1/2/2019)

Michigan
(12/5/2023)

Nevada
(1/6/2022)

North Carolina
(4/27/2021)

North Dakota
(2/7/2025)

Oklahoma
(7/16/2020)

Oregon
(4/29/2024)

South Carolina
(8/22/2022)

Tennessee
(9/20/2024)

Utah
(1/6/2022)

Washington
(5/9/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/10/1999

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: 6/11/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/19/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/25/2026)

Regulatory assets under management

Total Number of Accounts	755
AUM (Assets Under Management)	$ 888,776,410

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

Sienna P. Yoshida

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sienna Pualani Yoshida's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTSIDE INVESTMENT MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANKOH INVESTMENT SERVICES, INC.

BANKOH INVESTMENT SERVICES, INC.

BANKOH INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

WESTSIDE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/10/1999

SIE

Date: 10/1/2018

Series 31

Date: 6/11/1999

Series 7

Date: 5/19/1999

FINRA

Current Firm

WESTSIDE INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTSIDE INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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