Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Isao Aoki is a financial advisor registered with the state of California and Fortune Financial Services, Inc. He is a licensed Series 6, 7, 24, and SIE representative with over 35 years of experience in the industry. Previously James worked at CONTEMPORARY FINANCIAL SOLUTIONS, INC., PRINCOR FINANCIAL SERVICES CORPORATION, FINANCIAL WEST GROUP, TRANSAMERICA SECURITIES SALES CORPORATION and TRANSAMERICA FINANCIAL RESOURCES, INC.
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.
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.
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2
CA
11/19/2007 - Present
Fortune Financial Services, Inc. (SANTA BARBARA CA)
CA
10/27/2003 - 11/20/2007
CONTEMPORARY FINANCIAL SOLUTIONS, INC. (SANTA BARBARA CA)
IA
10/27/1998 - 08/27/2003
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
IA
01/19/1994 - 09/30/1998
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
NV
07/24/1991 - 11/05/1993
FINANCIAL WEST GROUP (RENO NV)
CA
03/06/1987 - 09/09/1989
TRANSAMERICA SECURITIES SALES CORPORATION (LOS ANGELES CA)
CA
10/07/1985 - 09/09/1989
TRANSAMERICA FINANCIAL RESOURCES, INC. (LOS ANGELES CA)
NA
01/31/1983 - 11/01/1985
PRUCO SECURITIES CORPORATION
BC
Issued 12/21/1985
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
BC
Issued 01/28/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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