Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Emi? Claim Your ProfileEmi Shindo is a financial advisor with LPL Financial LLC. Emi has been in the financial industry since March 16, 2001, and is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Emi is a Chartered Financial Analyst and holds a variety of licenses and certifications. Emi has a long history of working in the financial industry, starting with LPL Financial LLC. Emi's primary office is located in San Diego, California.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
11/02/2023 - Present
LPL Financial LLC (SAN DIEGO CA)
NC
09/14/2009 - 12/23/2011
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
NE
01/01/2001 - 02/22/2005
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BC
Issued 01/17/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/17/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/11/2005
Series 24 - General Securities Principal Examination
BC
Issued 12/29/2003
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/2007
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 09/28/2007
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 12/22/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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