DS
DS
Dayna Sumiyoshi is a registered investment advisor at Morgan Stanley, based in Cupertino, CA, with 39 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...
Location
20400 Stevens Creek Boulevard, Suite 350, Cupertino, CA, 95014
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2003Denied
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
February 2008 - June 2009 · 1 yr 4 mos
Morgan Stanley & CO. Incorporated
February 2008 - June 2009 · 1 yr 4 mos
Wells Fargo Investments, LLC
May 2001 - February 2008 · 6 yrs 9 mos
Wells Fargo Investments, LLCBroker
May 2001 - February 2008 · 6 yrs 9 mos
First Interstate Investments,inc.Broker
June 1996 - September 1996 · 3 mos
Wells Fargo Securities INC.Broker
September 1993 - May 2001 · 7 yrs 8 mos
Marketing One Securities, INC.Broker
April 1992 - September 1993 · 1 yr 5 mos
Invest Financial CorporationBroker
January 1990 - May 1992 · 2 yrs 4 mos
Fn Investment CenterBroker
April 1988 - January 1990 · 1 yr 9 mos
Gna Securities, INC.Broker
October 1986 - April 1988 · 1 yr 6 mos
State Registrations8 states
CAGAHIIDMNNVNYOR
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.