Shawn Takao Okumura

Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/1997 → Present
  Various Insurance Carriers For W&R Insurance Agencies
  San Jose, CA
• 08/2012 → Present
  Kestra Investment Services, Llc.
  San Jose, CA
• 04/2016 → Present
  Kestra Advisory Services, Llc.
  San Jose, CA

Previous Registrations

• 1997-07-08 → 2012-09-18
  Waddell & Reed
  Los Gatos, CA
  Campbell, CA
  Santa Cruz, CA
  Santa Cruz, CA
  Seattle, WA

Other Businesses

Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: Shawn Okumura & Myrna Nakamura Investment Related: No Address: 962-964 Spadafore Court San Jose CA 95125 Nature of Business: Real Estate Position, Title or Relationship: owner Start Date: 6/20/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I plan to hire a property management company to manage the rental side of the duplex. Business Name: Shawn & Dori Okumura Investment Related: No Address: 4067 Shinault Cove Olive Branch MS 38654 Nature of Business: Real Estate Position, Title or Relationship: My wife and I are owners of the property, we have a property management company that manages it Start Date: 1/31/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Owners of the property Business Name: Shawn & Dori Okumura Investment Related: Yes Address: 4361 Davall Circle Olive Branch MS 38654 Nature of Business: Real Estate Position, Title or Relationship: Joint owner w/ my wife, Dori Start Date: 12/31/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Joint owner of the property, we have a property management company to manage it Business Name: OHANA WEALTH ADVISORS, INC. DBA TRANSITIONS WEALTH POSITION: Owner NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 152 SECURITIES TRADING HOURS: 132 START DATE: 09/13/2012 ADDRESS: 1100 Lincoln Ave. Suite 241, San Jose CA 95125 DESCRIPTION: Principal and Financial Advisor

Exams

• S66 Uniform Combined State Law Examination
  2002-05-09
• S63 Uniform Securities Agent State Law Examination
  1997-05-07

Designations

• Certified Financial Planner

Other Names

• Shawn Okumura