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EO

Etsuji E. Oizumi

CETERA INVESTMENT ADVISERS LLC
ANAHEIM, CA 92805
Some features on this profile are disabled
CRD#: 5873161
EO

Professional summary

Etsuji Edward Oizumi, who also goes by Etsuji Oizumi, Etsuji Edward Oizumi, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Anaheim, California and CETERA WEALTH SERVICES, LLC located in Irvine, California.

Etsuji is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Etsuji has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Etsuji Oizumi | Etsuji Edward Oizumi

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) ADVANTAGE TAX & WEALTH POSITION: Financial Advisor NATURE: To provide comprehensive financial service, I serve our clients to constructive financial long term planning. Specially Retirement Planning is very critical to those who are concern about future cash inflows after their retirements. INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 20 START DATE: 11/01/2021 ADDRESS: 800 S Harbor Blvd, Suite 255, Anaheim CA 92805, DESCRIPTION: My duty and responsibility are to contact my clients on regular basis and provide any advice to them from fiduciary point of views. 2)Bentley Tax Company (1); Owner; Self-employed. To help clients to file their tax return every year. As Tax Preparer. I assist the tax-payers to file Federal/State Tax, to reduce tax due legitimately and to comply with current tax law. Registered in CA Franchise Tax Board as CTEC preparer.; NIR; 0; 01/01/2013; 13658 Red Hill Ave #F Tustin CA 92780; 1. Overview my clients financial situation. 2. Advice financial proposal based on his/her best interest. 3. In tax implication, propose any change and explain it thoroughly. 4. Based on his/her requests, prepare his tax returns. 5. E-file his return to IRS and follow up any issues afterwards.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Etsuji Edward Oizumi'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 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 800 S Harbor Suite 255, Anaheim, CA 92805
RIA
CRD#: 105644
ANAHEIM, CA
Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 530 Technology Dr Suite 100 & 200, Irvine, CA 92618
BD
CRD#: 13572
Irvine, CA
Past

November 3, 2021 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
ANAHEIM, CA
Past

November 3, 2021 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Irvine, CA
Past

February 12, 2019 - October 4, 2021

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
NEWPORT BEACH, CA
Past

February 4, 2019 - October 4, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
NEWPORT BEACH, CA
Past

November 9, 2018 - February 9, 2019

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
SANTA ANA, CA
Past

November 9, 2018 - February 9, 2019

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
SANTA ANA, CA
Past

May 30, 2018 - February 4, 2019

HBW ADVISORY SERVICES LLC

RIA
CRD#: 143665
Tustin, CA
Past

September 22, 2016 - June 5, 2018

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
IRVINE, CA
Past

September 15, 2016 - June 5, 2018

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
IRVINE, CA
Past

July 28, 2016 - September 12, 2016

WADDELL & REED

RIA
CRD#: 866
COSTA MESA, CA
Past

December 28, 2015 - September 12, 2016

WADDELL & REED

BD
CRD#: 866
COSTA MESA, CA
Past

April 20, 2011 - May 7, 2014

PFS INVESTMENTS INC.

BD
CRD#: 10111
TUSTIN, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 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
California
(9/5/2025)
IAR
California
(9/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/9/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/19/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/4/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/19/2011
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Anaheim, CA 92805

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