KS
Kyle H. Shimoda
DIVERSIFY ADVISORY SERVICES
HONOLULU, HI 96813
Some features on this profile are disabled
CRD#: 5002402
KS
Professional summary
Kyle H Shimoda is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in Honolulu, Hawaii and DFPG INVESTMENTS, LLC located in Honolulu, Hawaii.
Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Kyle has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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. INPAC WEALTH SOLUTIONS POSITION: Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 40 START DATE: 10/15/2018 ADDRESS: 1001 Bishop Street, Suite 2300, Honolulu HI 96816, United States DESCRIPTION: Fixed life insurance business 2. RENTAL PROPERTY POSITION: Owner NATURE: Sole Proprietorship. My wife and I own two investment properties under our name and receive rental income. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2013 ADDRESS: 3032 Harding Avenue, Honolulu HI 96816, United States DESCRIPTION: Looking over statements from the property managers. The property managers handle all day to day activities on the property. 3. RENTAL PROPERTY POSITION: Owner NATURE: Sole Proprietorship. My wife and I own two investment properties under our name and receive rental income. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2003 ADDRESS: 240B Mananai Place, Honolulu HI 96818, United States DESCRIPTION: Looking over statements from the property managers. The property managers handle all day to day activities on theproperty. 4. DIVERSIFY ADVISORY SERVICES, LLC (RIA); INVESTMENT RELATED; 1001 BISHOP STREET SUITE 2300, HONOLULU, HI 96813; INVESTMENT ADVISORY REP; SINCE 05/01/2013; 20-HRS/MTH; 20 DURING SECURITY HOURS; WORK WITH CLIENTS ON INVESTMENT ADVICE.
CRS (Client Relationship Summary) - RIA
Click below to view Kyle H Shimoda'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
November 17, 2023 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 1001 Bishop Street Suite 2300, Honolulu, HI 96813RIA
CRD#: 326060
HONOLULU, HI
Current
November 17, 2023 - Present
DFPG INVESTMENTS, LLC
Office #1: 745 Fort Street Mall Suite 888, Honolulu, HI 96813BD
CRD#: 155576
Honolulu, HI
Past
September 1, 2023 - November 21, 2023
OSAIC WEALTH, INC.
RIA
CRD#: 23131
HONOLULU, HI
Past
September 1, 2023 - November 21, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
HONOLULU, HI
Past
October 19, 2018 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
HONOLULU, HI
Past
October 19, 2018 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
HONOLULU, HI
Past
October 5, 2018 - November 7, 2018
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
HONOLULU, HI
Past
April 28, 2008 - November 7, 2018
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
HONOLULU, HI
Past
May 8, 2006 - April 18, 2008
NYLIFE SECURITIES LLC
BD
CRD#: 5167
HONOLULU, HI
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".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 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
Arizona(11/17/2023)
RR
California(11/17/2023)
RR
Florida(11/17/2023)
RR
Hawaii(11/17/2023)
IAR
Hawaii(11/17/2023)
RR
Minnesota(11/17/2023)
RR
Nevada(11/17/2023)
RR
New Mexico(11/17/2023)
RR
Texas(6/13/2024)
IAR
Texas(8/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/16/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
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Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
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.
