Joanie R. Morioka

KONDO WEALTH ADVISORS,

Pasadena, CA 91106

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CRD#: 4834264

Professional summary

Joanie Ryoko Morioka is a registered financial advisor currently at KONDO WEALTH ADVISORS, INC located in Pasadena, California and PURSHE KAPLAN STERLING INVESTMENTS located in Pasadena, California.

Joanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Joanie has worked at 5 firms and has passed the Series 66, SIE 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)KONDO WEALTH ADVISORS (RIA), REGISTERED ADMINISTRATIVE ASSISTANT, 921 East Green Street, Pasadena CA 91106; INVESTMENT RELATED. 160 HRS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanie Ryoko Morioka'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

June 25, 2015 - Present

KONDO WEALTH ADVISORS, INC

Office #1: 921 East Green Street, Pasadena, CA 91106

RIA

CRD#: 175347

Pasadena, CA

Current

June 30, 2011 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 921 East Green Street, Pasadena, CA 91106

CRD#: 35747

Pasadena, CA

Past

March 18, 2013 - June 5, 2015

KONDO WEALTH ADVISORS

RIA

CRD#: 134998

PASADENA, CA

Past

September 4, 2009 - July 5, 2011

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PASADENA, CA

Past

August 18, 2004 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

PASADENA, 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".

KONDO WEALTH ADVISORS, INC

CRD#: 175347 / SEC#: 801-96308

RIA

Registered Investment Advisory firm - (5/20/2015 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

California
(6/30/2011)

IAR

California
(6/25/2015)

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: 11/22/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KONDO WEALTH ADVISORS, INC

CRD#: 175347 / SEC#: 801-96308

RIA

Registered Investment Advisory firm - (5/20/2015 Approved)

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Contact information

Main Address

921 East Green Street, Pasadena, CA 91106

Mailing Address

Phone number

(626) 449-7783

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,108
AUM (Assets Under Management)	$ 306,385,071

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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Firm Stability Insights

Joanie R. Morioka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanie Ryoko Morioka's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

KONDO WEALTH ADVISORS

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

KONDO WEALTH ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/22/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2004

FINRA

Current Firm

KONDO WEALTH ADVISORS, INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KONDO WEALTH ADVISORS, INC

TRUST BUT VERIFY

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