MY
Masashi Yamamoto
PFG ADVISORS
Davis, CA 95616
Some features on this profile are disabled
CRD#: 5741255
MY
Professional summary
Masashi Yamamoto, who also goes by Mark Yamamoto, is a registered financial advisor currently at PFG ADVISORS located in Davis, California and OSAIC WEALTH, INC. located in Berkeley, California.
Masashi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Masashi has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Yamamoto
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.
DBA: Next Life Stage Planning SOPHIA UNIV. SF BAY AREA ALUMNI POSITION: President NATURE: Sophia Univ (Japan) Alumni SF Bay area branch president INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: NA, NA CA 95117 DESCRIPTION: Manage twice a year Alumni get-together event/party " TSUI-NO SUMIKA WA AMERICA? OR NIPPON?" POSITION: Coordinator NATURE: Free Educational Webinar Coordinator? INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 550 Kiely Blvd., STe1, San Jose CA 95117 DESCRIPTION: Coordinator of free educational webinars to Japanese nationality audiences who are long term us resident. arrange series of Webinars with a team of professional speakers, i.e., US CPA, Japan CPA, realtor, Estate planning attorney, relocation service provider, etc. and provide useful information regarding relocating back to Japan for retirement. DATA ANALYST POSITION: Analyst NATURE: Part time data analyst at Amazon INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2020 ADDRESS: 550 Kiely Blvd., STE 1, San Jose CA 95117 DESCRIPTION: Work for Amazon Logistic as part time data analyst to provide analysis report on the weekly production performance. Mainly work at home in flex time basis and communicate with Amazon logistic management and senior analysts through weekly and monthly report through email and Zoom meeting. PFG ADVISORS LLC POSITION: IAR NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 08/07/2023 ADDRESS: 3200 N. Central Ave, Suite 200, Phoenix AZ 85012 DESCRIPTION: Financial and investment advise and planning BLUPEAK INVESTMENT SERVICES POSITION: Financial Advisor NATURE: Financial Advisor helping BluPeak Credit Union Members with financial needs INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 10/09/2023 ADDRESS: 2350 Shattuck Ave, Berkeley CA 94704 DESCRIPTION: Financial advise for credit union members. INSURANCE AGENT POSITION: Insurance agent NATURE: Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2023 ADDRESS: 550 Kiely Blvd, STE 1, San Jose CA 95117 DESCRIPTION: Sell various insurance products. NEXT LIFE STAGE PLANNING POSITION: Financial Advisor NATURE: Financial advisory service to my own book of business INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 08/07/2023 ADDRESS: 550 Kiely Blvd., STE 1, San Jose CA 95117 DESCRIPTION: Provide financial plans, advisory account management, securities programs as products to sell to appropriate clients with needs for those. DBA - BluPeak Investment Services
CRS (Client Relationship Summary) - RIA
Click below to view Masashi Yamamoto'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
August 14, 2023 - Present
PFG ADVISORS
Office #1: 200 B Street, Davis, CA 95616Office #2: 2350 Shattuck Avenue, Berkeley, CA 94704Office #3: 10080 N. Wolfe Rd. Ste Sw3-200, Cupertino, CA 95014RIA
CRD#: 173344
Davis, CA
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 2350 Shattuck Ave, Berkeley, CA 94704Office #2: 200 B Street, Davis, CA 95616Office #3: 10080 N. Wolfe Rd. Ste Sw3-200, Cupertino, CA 95014RIA
BD
CRD#: 23131
BERKELEY, CA
Current
November 6, 2025 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 7333 E Doubletree Ranch Rd Ste 120, Scottsdale, AZ 85258Office #2: 10080 N. Wolfe Rd. Ste. Sw3-200, Cupertino, CA 95014Office #3: 2350 Shattuck Avenue, Berkeley, CA 94704Office #4: 200 B Street, Davis, CA 95616RIA
BD
CRD#: 20804
Scottsdale, AZ
Past
August 7, 2023 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
DAVIS, CA
Past
September 15, 2017 - August 10, 2023
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
SAN JOSE, CA
Past
August 28, 2017 - August 10, 2023
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SAN JOSE, CA
Past
August 20, 2013 - August 9, 2017
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SAN JOSE, CA
Past
January 1, 2010 - August 9, 2017
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SAN JOSE, 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".
PA
PFG ADVISORS
4 CORNERS (CUE FINANCIAL GROUP) | WEBB FINANCIAL ADVISORS | WEALTH MANAGEMENT GROUP | UNITED PRAIRIE FINANCIAL NETWORK | UFG GROUP | TURNING POINTE WEALTH MANAGEMENT | TUCSON OLD PUEBLO WEALTH MANAGEMENT | TRUWEST WEALTH MANAGEMENT SERVICES | TRUE COMPASS FINANCIAL | TROJAN WEALTH MANAGEMENT | THUNDERBIRD WEALTH MANAGEMENT | STATE ECU WEALTH PLANNING | STARLIFTER WEALTH MANAGEMENT | STANFORD FEDERAL INVESTMENT SERVICES | SOMMER INVESTMENTS | SCOTT HANISH LLC | SATTLER PENSION AND WEALTH MANAGEMENT | RORBACH FINANCIAL SERVICES | ROCHA WEALTH ADVISORS | RETIREADY ADVISORS | REACH INVESTMENT SERVICES | PRIORITY FINANCIAL PARTNERS, LLC | PRIORITY FINANCIAL PARTNERS | PINNACLE SOUTHWEST SECURITIES & INVESTMENTS, CO | PINAL COUNTY FINANCIAL SERVICES | PHOCUS RETIREMENT SERVICES | PHOCUS FINANCIAL STRATEGIES GROUP | PFG ADVISORS, LLC | PFG ADVISORS | PFG (PEORIA) | OCCU INVESTMENT SERVICES | MY POINT | MORROW FINANCIAL GROUP | MISSION CITY INVESTMENT SERVICES | MILLER WEALTH MANAGEMENT, INC. | MILES BROWN ASSET MANAGEMENT | MANSELL CAPITAL MANAGEMENT | MANGUS WEALTH MANAGEMENT | LPL SUNNYVALE | LONESTAR WEALTH MANAGEMENT | LONE STAR INVESTMENT SOLUTIONS | LBW INSURANCE & FINANCIAL SERVICES | LANDINGS FINANCIAL SERVICES | KLEVENS CAPITAL MANAGEMENT, INC. | KEYPOINT FINANCIAL SERVICES | KALINA WEALTH ADVISORS | JUDD WEALTH MANAGEMENT | JAMES MERKEL (PYRAMID FCU) | INTEGRO WEALTH MANAGEMENT | IHN FAMILY LEGACY PLANNING, INC. | IDAHO CENTRAL WEALTH MANAGEMENT | GAVAGAN FINANCIAL SERVICES | FORTHRIGHT FINANCIAL SERVICES | FIRST SERVICE WEALTH MANAGEMENT | FINANCIAL SERVICES AT FMFCU | ELEVATE WEALTH | EAGLE WEALTH MANAGEMENT | DIAMOND FINANCIAL PLANNING | DEER VALLEY FINANCIAL SERVICES | DAVIS FINANCIAL MANAGEMENT | CUE FINANCIAL GROUP | COUNTY FEDERAL WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT (CORNERSTONE WEALTH MANAGEMENT) | COPPER STATE WEALTH MANAGEMENT | CHABOT FINANCIAL SERVICES | CANYON STATE WEALTH MANAGEMENT SERVICES | CANO CAPITAL MANAGEMENT, LLC | CALIFORNIA COAST FINANCIAL SERVICES | BLUPEAK INVESTMENT SERVICES | BATIE & CO CAPITAL MGMT LLC | ASCENSION COLLEGE PLANNING | APRICITY WEALTH MANAGEMENT | ANTHEA WEALTH MANAGEMENT | ALTIER INVESTMENTS AND FINANCIAL PLANNING | ALTIER INVESTMENT SERVICES | AERO INVESTMENT SERVICES | A.I.R.E FINANCIAL | A. M. GUIDANCE & FINANCIAL SERVICES CONSULTING LLC
CRD#: 173344 / SEC#: 801-80797
RIA
Registered Investment Advisory firm - (12/1/2014 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
IAR
California(8/14/2023)
RR
California(6/14/2024)
RR
California(11/6/2025)
RR
Louisiana(4/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PFG ADVISORS
4 CORNERS (CUE FINANCIAL GROUP) | WEBB FINANCIAL ADVISORS | WEALTH MANAGEMENT GROUP | UNITED PRAIRIE FINANCIAL NETWORK | UFG GROUP | TURNING POINTE WEALTH MANAGEMENT | TUCSON OLD PUEBLO WEALTH MANAGEMENT | TRUWEST WEALTH MANAGEMENT SERVICES | TRUE COMPASS FINANCIAL | TROJAN WEALTH MANAGEMENT | THUNDERBIRD WEALTH MANAGEMENT | STATE ECU WEALTH PLANNING | STARLIFTER WEALTH MANAGEMENT | STANFORD FEDERAL INVESTMENT SERVICES | SOMMER INVESTMENTS | SCOTT HANISH LLC | SATTLER PENSION AND WEALTH MANAGEMENT | RORBACH FINANCIAL SERVICES | ROCHA WEALTH ADVISORS | RETIREADY ADVISORS | REACH INVESTMENT SERVICES | PRIORITY FINANCIAL PARTNERS, LLC | PRIORITY FINANCIAL PARTNERS | PINNACLE SOUTHWEST SECURITIES & INVESTMENTS, CO | PINAL COUNTY FINANCIAL SERVICES | PHOCUS RETIREMENT SERVICES | PHOCUS FINANCIAL STRATEGIES GROUP | PFG ADVISORS, LLC | PFG ADVISORS | PFG (PEORIA) | OCCU INVESTMENT SERVICES | MY POINT | MORROW FINANCIAL GROUP | MISSION CITY INVESTMENT SERVICES | MILLER WEALTH MANAGEMENT, INC. | MILES BROWN ASSET MANAGEMENT | MANSELL CAPITAL MANAGEMENT | MANGUS WEALTH MANAGEMENT | LPL SUNNYVALE | LONESTAR WEALTH MANAGEMENT | LONE STAR INVESTMENT SOLUTIONS | LBW INSURANCE & FINANCIAL SERVICES | LANDINGS FINANCIAL SERVICES | KLEVENS CAPITAL MANAGEMENT, INC. | KEYPOINT FINANCIAL SERVICES | KALINA WEALTH ADVISORS | JUDD WEALTH MANAGEMENT | JAMES MERKEL (PYRAMID FCU) | INTEGRO WEALTH MANAGEMENT | IHN FAMILY LEGACY PLANNING, INC. | IDAHO CENTRAL WEALTH MANAGEMENT | GAVAGAN FINANCIAL SERVICES | FORTHRIGHT FINANCIAL SERVICES | FIRST SERVICE WEALTH MANAGEMENT | FINANCIAL SERVICES AT FMFCU | ELEVATE WEALTH | EAGLE WEALTH MANAGEMENT | DIAMOND FINANCIAL PLANNING | DEER VALLEY FINANCIAL SERVICES | DAVIS FINANCIAL MANAGEMENT | CUE FINANCIAL GROUP | COUNTY FEDERAL WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT (CORNERSTONE WEALTH MANAGEMENT) | COPPER STATE WEALTH MANAGEMENT | CHABOT FINANCIAL SERVICES | CANYON STATE WEALTH MANAGEMENT SERVICES | CANO CAPITAL MANAGEMENT, LLC | CALIFORNIA COAST FINANCIAL SERVICES | BLUPEAK INVESTMENT SERVICES | BATIE & CO CAPITAL MGMT LLC | ASCENSION COLLEGE PLANNING | APRICITY WEALTH MANAGEMENT | ANTHEA WEALTH MANAGEMENT | ALTIER INVESTMENTS AND FINANCIAL PLANNING | ALTIER INVESTMENT SERVICES | AERO INVESTMENT SERVICES | A.I.R.E FINANCIAL | A. M. GUIDANCE & FINANCIAL SERVICES CONSULTING LLC
CRD#: 173344 / SEC#: 801-80797
RIA
Registered Investment Advisory firm - (12/1/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3200 N. Central Ave Suite #200, Phoenix, AZ 85012
Mailing Address
Phone number
(800) 405-8850
Established
Firm type
Fiscal year end
# of Employees
119
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,550 |
| AUM (Assets Under Management) | $ 3,083,491,501 |
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.
