Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOANIE RYOKO MORIOKA
CRD#: 4834264
IA
Investment Adviser
B
Broker
KONDO WEALTH ADVISORS, INCCRD#: 175347 921 EAST GREEN STREET
PASADENA, CA 91106
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 921 East Green Street
PASADENA, CA 91106
Registration History
200420062008201020122014201620182020202220242026IAKONDO WEALTH ADVISORS, INC (CRD# 175347)2015 - Present (9 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2011 - Present (13 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2009 - 2011 (1 year)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 3600)2004 - 2009 (5 years)IAKONDO WEALTH ADVISORS (CRD# 134998)2013 - 2015 (2 years)
License(s)

State Registrations

B
California 6/30/2011
IA
California 6/25/2015

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)
IA
KONDO WEALTH ADVISORS, INC (CRD#:175347)
921 EAST GREEN STREET, PASADENA, CA 91106
Registered with this firm since 6/25/2015
B
PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747)
921 East Green Street, PASADENA, CA 91106
Registered with this firm since 6/30/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/18/2013 - 06/05/2015 KONDO WEALTH ADVISORS (CRD#:134998) PASADENA, CA
B
 09/04/2009 - 07/05/2011 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) PASADENA, CA
B
 08/18/2004 - 09/04/2009 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:3600) PASADENA, CA
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.