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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dayna? Claim Your ProfileDayna A. Sumiyoshi is a financial advisor with over 35 years of experience in the industry. Dayna has been with Morgan Stanley since 2009, and has also worked for Wells Fargo Investments, LLC, Wells Fargo Securities, Inc., and First Interstate Investments, Inc. Dayna specializes in portfolio management for individuals, investment companies, and businesses. Dayna has a variety of designations and credentials, and has passed several industry exams, including the Series 6, 7, 24, 53, 63, and 65.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
12/02/2022 - Present
Morgan Stanley (Cupertino CA)
CA
02/01/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CUPERTINO CA)
CA
05/02/2001 - 02/01/2008
WELLS FARGO INVESTMENTS, LLC (HALF MOON BAY CA)
CA
09/20/1993 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
06/25/1996 - 09/20/1996
FIRST INTERSTATE INVESTMENTS,INC.
OR
04/23/1992 - 09/20/1993
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
WI
01/23/1990 - 05/01/1992
INVEST FINANCIAL CORPORATION (APPLETON WI)
CA
04/22/1988 - 01/01/1990
FN INVESTMENT CENTER (SACRAMENTO CA)
NA
10/22/1986 - 04/20/1988
GNA SECURITIES, INC.
IA
Issued 03/31/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/25/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/09/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/02/1989
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
Series 7 - General Securities Representative Examination
BC
Issued 10/21/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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