Dale A. Okuno

OKUNO ASSOCIATES

Pasadena, CA 91103

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CRD#: 816524

Professional summary

Dale Alan Okuno is a registered financial advisor currently at OKUNO ASSOCIATES, INC. located in Pasadena, California.

Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Dale has worked at 6 firms and has passed the SIE, Series 7, Series 1 and Series 24 exams.

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.

1)DBA OKUNO ASSOCIATES, INC. 35 N. ARROYO PKWY, PASADENA, CA. ALSO HIS INDEPENDENT RIA AND INSURANCE AGENCY, PRESIDENT, INV-RELATED, START 1986 2)PUROAST COFFEE CO, WOODLAND, CA, DIRECTOR/INVESTOR IN CORP, NOT INV-RELATED, START 05/2010 3)ALLIANCE COLLEGE READY PUBLIC SCHOOLS, 1940 S. FIGUEROA, LOS ANGELES, CA, BOARD MEMBER, NOT INV-RELATED, START 5/2011, 4-10 HRS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Alan Okuno'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

March 2, 1988 - Present

OKUNO ASSOCIATES, INC.

Office #1: 35 N Arroyo Parkway #240, Pasadena, CA 91103

RIA

CRD#: 139854

Pasadena, CA

Past

September 4, 2009 - June 17, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

PASADENA, CA

Past

September 4, 2009 - June 17, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PASADENA, CA

Past

June 12, 2009 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

PASADENA, CA

Past

May 9, 1990 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

PASADENA, CA

Past

November 19, 1989 - March 15, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 6, 1987 - August 1, 1995

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Past

February 10, 1987 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

December 22, 1975 - March 2, 1987

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

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
(3/2/1988)

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

General Industry/Product Exam

SIE

Date: 6/17/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 12/15/1975

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/30/1987

General Securities Principal Examination

Current Firm

OKUNO ASSOCIATES, INC.

CRD#: 139854 / SEC#:

California

Registered Investment Advisory firm - (3/2/1988 Approved)

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Contact information

Main Address

35 N Arroyo Parkway #240, Pasadena, CA 91103

Mailing Address

Phone number

(626) 585-3500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Dale A. Okuno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Alan Okuno's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

OSAIC WEALTH, INC.

TRANSAMERICA SECURITIES SALES CORPORATION

INTEGRATED RESOURCES EQUITY CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 6/17/2015

Series 7

Date: 8/15/1987

Series 1

Date: 12/15/1975

Series 24

Date: 10/30/1987

Current Firm

OKUNO ASSOCIATES, INC.

Contact information

Documents

Red Flags

Company Information

OKUNO ASSOCIATES, INC.

TRUST BUT VERIFY

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