Yumi Hirata
STRATEGIC ADVISERS LLC | Vice President, Wealth Planner
IRVINE, CA
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CRD#: 5194918
Professional summary
Yumi Hirata is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Irvine, California and FIDELITY BROKERAGE SERVICES LLC located in Newport Beach, California.
Yumi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Yumi has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
As a Vice President Wealth Planner, I partner with select high net worth clients to dedicate the necessary time to fully understand their overall family wealth system. With this knowledge, we work together to develop strong yet flexible financial plans to help make meaningful decisions towards their success.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Yumi Hirata'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®
NoneEducation
University of California, San Diego
Bachelor of Arts (BA) - Political Science
2006
University of California, San Diego
Bachelor of Arts (BA) - Economics
2006
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 1600 Newport Center Dr Ste 100, Newport Beach, CA 92660-6208RIA
CRD#: 104555
IRVINE, CA
Current
March 13, 2017 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 1600 Newport Ctr Dr Ste 100, Newport Beach, CA 92660BD
CRD#: 7784
Newport Beach, CA
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
IRVINE, CA
Past
March 21, 2017 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
NEWPORT BEACH, CA
Past
November 30, 2011 - March 7, 2017
HARRISDIRECT LLC
RIA
CRD#: 42159
COSTA MESA, CA
Past
November 30, 2011 - March 7, 2017
E*TRADE SECURITIES LLC
BD
CRD#: 29106
COSTA MESA, CA
Past
October 5, 2010 - October 17, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
October 5, 2010 - October 17, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
January 21, 2009 - February 25, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
January 1, 2009 - February 25, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, 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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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(12/1/2021)
RR
California(3/13/2017)
IAR
California(3/31/2025)
RR
Colorado(7/30/2020)
RR
Delaware(9/16/2025)
RR
Florida(12/4/2020)
RR
Georgia(8/13/2021)
RR
Hawaii(4/30/2020)
RR
Idaho(9/29/2025)
RR
Massachusetts(11/11/2019)
RR
Missouri(3/23/2021)
RR
Montana(1/3/2018)
RR
Nevada(5/21/2020)
RR
New Jersey(9/16/2025)
RR
Oregon(10/25/2019)
RR
Pennsylvania(7/7/2022)
RR
Tennessee(11/12/2020)
RR
Texas(4/8/2019)
IAR
Texas(3/31/2025)
RR
Utah(7/6/2020)
RR
Washington(7/29/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
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Company Information
STRATEGIC ADVISERS LLC
Vice President, Wealth PlannerCRD#: 104555Irvine, CATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
