James Aoki
James Aoki is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in South Ogden, UT, with 27 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
5929 S Fashion Pointe Drive, Suite 302, South Ogden, UT, 84403
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is involved with three outside business activities. He is associated with ANA Financial Services, LLC, serves as a Reverend at the Buddhist Church of Ogden, and works as a Medicare Agent, dedicating a few hours per week to each of the latter two.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Previous Registrations
LPL Financial LLC
Financial Advocates Investment Management
LPL Financial LLC
LPL Financial LLCBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
Wachovia Securities, LLCBroker
Wachovia Securities, LLC
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
State Registrations14 states
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