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Tadanobu Yasuoka
CETERA INVESTMENT ADVISERS LLC
TORRANCE, CA 90503
Some features on this profile are disabled
CRD#: 4524406
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Professional summary
Tadanobu Yasuoka, who also goes by Tad Yasuoka, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Torrance, California and CETERA WEALTH SERVICES, LLC located in Torrance, California.
Tadanobu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Tadanobu has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tad Yasuoka
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.
(dba) DAIWA INSURANCE MARKETING INC; Investment Related; 20355 Hawthorne Blvd, 2nd Floor, Torrance, CA 90503; Insurance Broker; President; Start Date 03/1997; 160 hours per month with 100 of those hours per month during trading hours; Insurance product sales and service. >> DAIWA MANAGEMENT LLC; Non-Investment Related; Torrance, CA 90503; Rental Property; Owner; Start Date 10/2020; 2 hours per month with no hours per month during trading hours; Invoicing and depositing monthly rent checks.
CRS (Client Relationship Summary) - RIA
Click below to view Tadanobu Yasuoka'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 20355 Hawthorne Blvd 2nd Floor, Torrance, CA 90503RIA
CRD#: 105644
TORRANCE, CA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 20355 Hawthorne Blvd 2nd Floor, Torrance, CA 90503BD
CRD#: 13572
Torrance, CA
Past
September 16, 2019 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Torrance, CA
Past
October 22, 2018 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Torrance, CA
Past
June 5, 2012 - October 23, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
May 1, 2002 - May 10, 2012
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
TORRANCE, CA
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(2/20/2025)
IAR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Hawaii(2/20/2025)
RR
Massachusetts(10/7/2025)
RR
Michigan(2/20/2025)
RR
Mississippi(2/20/2025)
RR
Nevada(2/20/2025)
RR
New Jersey(2/20/2025)
RR
New York(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(3/26/2025)
RR
Virginia(2/20/2025)
RR
Washington(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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.
