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Detailed Report
DAVID MATSUO SHIMANA
CRD#: 4164134
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1600 KAPIOLANI BLVD
SUITE 1408
HONLULU, HI 96814
CETERA ADVISORS LLCCRD#: 10299 1600 KAPIOLANI BOULEVARD SUITE 1408
HONOLULU, HI 96814
Registration History
20002002200420062008201020122014201620182020202220242026BCETERA ADVISORS LLC (CRD# 10299)2022 - Present (2 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (4 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2007 - 2022 (14 years)BLINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2003 - 2007 (4 years)BVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2000 - 2003 (3 years)BTHE VARIABLE ANNUITY MARKETING... (CRD# 5081)2000 - 2001 (1 year)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2012 - 2020 (8 years)IAFIRST ALLIED SECURITIES, INC. (CRD# 32444)2008 - 2012 (4 years)IALINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2007 - 2007 (<1 year)
License(s)

State Registrations

B
California 9/8/2022
B
New York 9/8/2022
B
Colorado 9/8/2022
B
Ohio 9/8/2022
IA
Hawaii 11/12/2020
B
Virginia 9/8/2022
B
Hawaii 9/8/2022
B
Washington 11/16/2023
B
Illinois 9/8/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CETERA ADVISORS LLC (CRD#:10299)
1600 KAPIOLANI BOULEVARD SUITE 1408, HONOLULU, HI 96814
AIEA, HI
Registered with this firm since 9/8/2022
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
1600 KAPIOLANI BLVD SUITE 1408, HONLULU, HI 96814
Registered with this firm since 11/12/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/03/2007 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) HONOLULU, HI
IA
 07/02/2012 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) HONLULU, HI
IA
 01/08/2008 - 07/02/2012 FIRST ALLIED SECURITIES, INC. (CRD#:32444) HONOLULU, HI
IA
 07/27/2007 - 12/11/2007 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) HONOLULU, HI
B
 05/07/2003 - 12/11/2007 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) HONOLULU, HI
B
 05/22/2000 - 05/12/2003 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) HOUSTON, TX
B
 05/22/2000 - 12/31/2001 THE VARIABLE ANNUITY MARKETING COMPANY (CRD#:5081) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.