DS
David M. Shimana
CETERA INVESTMENT ADVISERS LLC
HONLULU, HI 96814
Some features on this profile are disabled
CRD#: 4164134
DS
Professional summary
David Matsuo Shimana, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Honlulu, Hawaii and CETERA ADVISORS LLC located in Honolulu, Hawaii.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6, Series 51 and Series 26 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.) DAVID M. SHIMANA/STORYBOOK VENTURES INC; OWNER; INSURANCE; START DATE: 1/1/2004. 2.) DAVID M. SHIMANA; REAL ESTATE(RENT/INVEST/DEVELOP); START DATE: 11/27/2007. 3.)STORYBOOK VENTURES, INC; DBA; START DATE: 11/13/2007. 4.) DAVID SHIMANA; AGENT; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 06/01/2011; 40 HOURS PER MONTH. 5.) TAKESHI SHIMANA & JUNE SHIMANA TRUST 4/7/15; SUCCESSOR TRUSTEE; FIDUCIARY POSITION; START DATE 7/13/15; 4 HOURS PER MONTH. 6.) LEAHIGH TAKEMOTO FAMILY TRUST; SUCCESSOR TRUSTEE; FIDUCIARY POSITION; START DATE: 11/30/2021; 4 HOURS PER MONTH. 7) NAME OF OTHER BUSINESS: STORYBOOK VENTURES, INC. DBA AVODAH WEALTH MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2025;, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view David Matsuo Shimana'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®
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1600 Kapiolani Blvd Suite 1408, Honlulu, HI 96814RIA
CRD#: 105644
HONLULU, HI
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1600 Kapiolani Boulevard Suite 1408, Honolulu, HI 96814BD
CRD#: 10299
Honolulu, HI
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
HONLULU, HI
Past
January 8, 2008 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
HONOLULU, HI
Past
December 3, 2007 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
HONOLULU, HI
Past
July 27, 2007 - December 11, 2007
LPL FINANCIAL LLC
RIA
CRD#: 6413
HONOLULU, HI
Past
May 7, 2003 - December 11, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
HONOLULU, HI
Past
May 22, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
May 22, 2000 - May 12, 2003
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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(9/8/2022)
RR
Colorado(9/8/2022)
IAR
Hawaii(11/12/2020)
RR
Hawaii(9/8/2022)
RR
Illinois(9/8/2022)
RR
New York(9/8/2022)
RR
Ohio(9/8/2022)
RR
Virginia(9/8/2022)
RR
Washington(11/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
