Miho Hatori

APP

San Mateo, CA 94403

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CRD#: 5263480

Professional summary

Miho Hatori, who also goes by Miho Sato, is a registered financial advisor currently at APP located in San Mateo, California.

Miho is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Miho has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Miho Sato

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. 5/4/2016: Nippon Life Benefits - Non-Variable Insurance - Investment Related - 6 Venture #390, Irvine CA 92618 - Start 05/01/2016 - 3 Hr/Mo; 0 Hour(s) During Securities Trading - Appointment with Insurance Agency. Life, Health, Disability. 2. 1/3/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 12/15/2017 - 3 Hours Per Month / 0 Hours During Trading - Yes. I will be submitting business for Group Medical and Disability. Dickerson Employee Benefits Insurance Services, Authorized General Agent and Anthem. 3. 11/14/2019 - Pacific Guardian Life - Investment related - At reported business location(s) - Non-Variable Insurance - start date:10/31/2019 - 3 hrs/mo - 0 hrs during trading. 4. 9/16/2020 - Asset Planning and Protection LLC - DBA: Asset Plan and Protect - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 06/01/2017 - 160 Hours Per Month During Securities Trading. 5. 11/17/2020 - Asset Planning and Protection LLC - DBA: Asset Plan Team - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/26/2020 - 10 Hours Per Month/1 Hour During Securities Trading. 6. 02/23/2022 - BLT Insurance Services - Investment Related - Home Based - Non-Variable Insurance - Start Date - 02/01/2022 - 5 Hours Per Month/ 0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Miho Hatori'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®

None

Experience

Current

January 26, 2023 - Present

APP

Office #1: 1900 S. Norfolk St. Ste 350, San Mateo, CA 94403

RIA

CRD#: 324537

San Mateo, CA

Past

September 12, 2022 - October 11, 2023

ADVANCED PORTFOLIO STRATEGIES

RIA

CRD#: 284697

TORRANCE, CA

Past

August 28, 2013 - September 16, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVINE, CA

Past

August 28, 2013 - September 16, 2022

LPL FINANCIAL LLC

CRD#: 6413

IRVINE, CA

Past

January 2, 2007 - August 30, 2013

PRUCO SECURITIES, LLC.

CRD#: 5685

IRVINE, CA

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

California
(1/26/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/15/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/30/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

APP

APP | ASSET PLANNING AND PROTECTION LLC

CRD#: 324537 / SEC#:

California

Registered Investment Advisory firm - (1/26/2023 Approved)

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Contact information

Main Address

1900 S. Norfolk St. Ste 350, San Mateo, CA 94403

Mailing Address

Phone number

(949) 877-3505

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	80
AUM (Assets Under Management)	$ 8,570,000

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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Miho Hatori

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Miho Hatori's CRS (Customer Relationship Summary).

Certified licenses

Experience

APP

ADVANCED PORTFOLIO STRATEGIES

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/2013

Series 63

Date: 1/8/2007

SIE

Date: 10/1/2018

Series 6

Date: 12/30/2006

Current Firm

APP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

APP

TRUST BUT VERIFY

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