Wesley M. Yamada

FOUNTAINHEAD ADVISORS

Walnut Creek, CA 94597

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CRD#: 5632103

Professional summary

Wesley Mitsuo Yamada, who also goes by Wes Yamada, is a registered financial advisor currently at FOUNTAINHEAD ADVISORS located in Walnut Creek, California.

Wesley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Wesley has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wes Yamada

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.

INDIVIDUAL LIFE INSURANCE AGENT WITH MASS MUTUAL; STARTED FEBRUARY 2013; WORK FROM SAME LOCATION AS ADVISORY BUSINESS; TIME SPENT IS GENERALLY ABOUT 10 HOURS PER WEEK, PRIMARILY DURING REGULAR BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wesley Mitsuo Yamada'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

September 6, 2018 - Present

FOUNTAINHEAD ADVISORS

Office #1: 3003 Oak Road, Ste 250, Walnut Creek, CA 94597

RIA

CRD#: 156185

Walnut Creek, CA

Past

May 21, 2013 - September 11, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

WALNUT CREEK, CA

Past

April 22, 2013 - September 11, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

WALNUT CREEK, CA

Past

October 3, 2012 - December 20, 2012

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

WALNUT CREEK, CA

Past

August 25, 2010 - December 20, 2012

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

WALNUT CREEK, 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".

FOUNTAINHEAD ADVISORS

CRD#: 156185 / SEC#: 801-79472

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

Florida

Registered Investment Advisory firm - (4/9/2014 Terminated)

New York

Registered Investment Advisory firm - (4/9/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(9/6/2018)

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: 10/2/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/17/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FOUNTAINHEAD ADVISORS

CRD#: 156185 / SEC#: 801-79472

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

Florida

Registered Investment Advisory firm - (4/9/2014 Terminated)

New York

Registered Investment Advisory firm - (4/9/2014 Terminated)

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Contact information

Main Address

10 Independence Blvd Suite 120, Warren, NJ 07059

Mailing Address

Phone number

(732) 346-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOUNTAINHEAD ADVISORS & FOUNTAINHEAD PRIVATE WEALTH ADV 2A JUNE 2025 (6/12/2025)

Regulatory assets under management

Total Number of Accounts	3,733
AUM (Assets Under Management)	$ 1,019,956,144

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

Wesley M. Yamada

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wesley Mitsuo Yamada's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

Primary Firm SEC Registration

FOUNTAINHEAD ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2012

Series 63

Date: 8/27/2010

SIE

Date: 9/11/2018

Series 7

Date: 9/19/2011

Series 6

Date: 8/17/2010

Current Firm

FOUNTAINHEAD ADVISORS

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUNTAINHEAD ADVISORS

TRUST BUT VERIFY

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