SF
Shinichiro Fukui Tamura
STRATTON CAPITAL INVESTMENT ADVISORY LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 4432895
SF
Professional summary
Shinichiro Fukui Tamura, who also goes by Shin Fukui, Shin Fukui Tamura, Shinichiro Fukui, is a registered financial advisor currently at STRATTON CAPITAL INVESTMENT ADVISORY LLC located in New York, New York.
Shinichiro is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Shinichiro has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shin Fukui | Shin Fukui Tamura | Shinichiro Fukui
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.
LANDLORD OF TWO RENTAL PROPERTIES LOCATED IN PHILADELPHIA, PA. THIS ACTIVITY IS NOT INVESTMENT RELATED. MR. FUKUI IS NOT ACTIVELY ENGAGED IN THE MANAGEMENT OF THE PROPERTIES. MR. FUKUI IS THE OWNER OF THE PROPERTIES. HE SPENDS LESS THAN AN HOUR PER MONTH FROM HIS PERSONAL TIME TO THIS ACTIVITY. I have an investment property. It is a residential townhouse in Philadelphia that is rented out. I pay mortgage and receive lease payments that offset my investment expenses. This investment is in my name. PARTNER OWNER OF NOVA NY LLC. THIS IS A PASSIVE INVESTMENT ACTIVITY THAT STARTED IN AUGUST 2017. NO TIME IS DEVOTED DURING SECURITIES TRADING HOURS. THIS IS A PARTNERSHIP WITH A FRANCHISE COMPANY THAT SELLS CO-WORKING SPACES. MR. FUKUI DOES NOT PARTICIPATE IN THE OPERATION OF THE INVESTED BUSINESS. I have a passive investment in a franchise of a co-working office. The business has never had any profit and I never received any dividends. This investment was made through an LLC. I have a passive investment in a co-working company that franchises co-working offices. I have never received any dividends from this company. This investment is in my name and my wife's name. In any of these OBA I have never received any commissions as I have been always in the investor's position. My compensation is solely based on the gross profit the company generates. I increase my equity in the company based on how much AUM I bring or originate.
CRS (Client Relationship Summary) - RIA
Click below to view Shinichiro Fukui Tamura'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
August 12, 2024 - Present
STRATTON CAPITAL INVESTMENT ADVISORY LLC
Office #1: 28 Liberty Street 6th Floor, New York, NY, 10005RIA
CRD#: 307491
New York, NY
Past
February 13, 2018 - January 22, 2021
BANCO DO BRASIL SECURITIES LLC
BD
CRD#: 132701
NEW YORK, NY
Past
February 3, 2009 - October 19, 2017
BRADESCO SECURITIES, INC.
BD
CRD#: 104347
NEW YORK, NY
Past
October 9, 2001 - February 3, 2009
FINANTIA USA INC.
BD
CRD#: 39120
NEW YORK, 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".
SC
STRATTON CAPITAL INVESTMENT ADVISORY LLC
STRATTON CAPITAL INVESTMENT ADVISORY LLC | STRATTON CAPITAL LLC
CRD#: 307491 / SEC#: 801-132386
RIA
Registered Investment Advisory firm - (5/29/2025 Approved)New York
Registered Investment Advisory firm - (6/27/2025 Terminated)Texas
Registered Investment Advisory firm - (6/27/2025 Terminated)Vermont
Registered Investment Advisory firm - (7/2/2025 Terminated)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
New York(8/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/27/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 6/27/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SC
STRATTON CAPITAL INVESTMENT ADVISORY LLC
STRATTON CAPITAL INVESTMENT ADVISORY LLC | STRATTON CAPITAL LLC
CRD#: 307491 / SEC#: 801-132386
RIA
Registered Investment Advisory firm - (5/29/2025 Approved)New York
Registered Investment Advisory firm - (6/27/2025 Terminated)Texas
Registered Investment Advisory firm - (6/27/2025 Terminated)Vermont
Registered Investment Advisory firm - (7/2/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
28 Liberty Street, New York, NY 10005
Mailing Address
Phone number
(914) 471-3377
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 505 |
| AUM (Assets Under Management) | $ 75,159,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
