Dan T. Shimogawa

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

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

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

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-06-04
NC	RA	APPROVED	2024-06-04
TX	RA	APPROVED_RES	2024-06-04
CA	RA	APPROVED	2023-09-01
HI	RA	APPROVED	2023-09-01

FL RA
APPROVED

Since 2024-06-04
NC RA
APPROVED

Since 2024-06-04
TX RA
APPROVED_RES

Since 2024-06-04
CA RA
APPROVED

Since 2023-09-01
HI RA
APPROVED

Since 2023-09-01

Branch Locations

Pearl City, HI • United States

615 Piikoi Street Suite 1205, Honolulu, HI 96814 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
National Planning Corporation	Honolulu	HI	02/2009	10/2017
Sagepoint Financial, Inc.	Honolulu	HI	10/2017	09/2023
Osaic Wealth, Inc.	Honolulu	HI	09/2023	Present

02/2009 → 10/2017

National Planning Corporation

Honolulu, HI
10/2017 → 09/2023

Sagepoint Financial, Inc.

Honolulu, HI
09/2023 → Present

Osaic Wealth, Inc.

Honolulu, HI

Previous Registrations

2017-10-24 → 2023-09-01

Osaic Services, Inc.

Honolulu, HI
2009-02-13 → 2017-10-26

National Planning Corporation

Honolulu, HI
2005-10-31 → 2009-02-17

Osaic Services, Inc.

Honolulu, HI

Honolulu, HI

Phoenix, AZ
2005-08-02 → 2005-10-31

Sunamerica Securities, Inc.

Honolulu, HI

Other Businesses

1. Coda Financial Group, 615 Piikoi Street, Ste. 1205 Honolulu HI 96814-3518, Insurance Producer, Investment Related, 12/12/2012, 25 hours total, 10 during trading hours, Fixed Insurance.-- 2. DAN SHIMOGAWA POSITION: Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2005 ADDRESS: 615 Piikoi St., #1205, Honolulu HI 96814, United States DESCRIPTION: Offer fixed insurance, No conflict of interest, Commission compensation structure 3. CODA FINANCIAL ADVISOR NETWORK POSITION: Managing Director NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 12 START DATE: 04/09/2015 ADDRESS: 615 Piikoi St., #1205, Honolulu HI 96814, United States DESCRIPTION: Weekly meetings to keep the office efficient. 4. DAN T SHIMOGAWA POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2023 ADDRESS: 615 Piikoi St., Suite 1205, Honolulu HI 96814, United States DESCRIPTION: Provide OSJ and consulting services to the representatives in my OSJ