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Joanne Ko Shimada

LPl Financial LLC

Honolulu, HI

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-01-05
HI RA APPROVED 2005-01-05
  • TX RA
    APPROVED
    Since 2026-01-05
  • HI RA
    APPROVED
    Since 2005-01-05

Branch Locations

2961 East Manoa Road, #D, Honolulu, HI 96822 • 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
OrganizationCityStateFromTo
Lpl Financial, Llc Honolulu HI 01/2005 Present
Previous Registrations
Other Businesses

(1) 10/17/2013: Joanne K.O. Shimada, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-02
S63 Uniform Securities Agent State Law Examination 1993-07-10
  • S65 Uniform Investment Adviser Law Examination
    1999-06-02
  • S63 Uniform Securities Agent State Law Examination
    1993-07-10
Other Names
  • Joanne Katrina Onley
  • Joanne K Onley

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC
MML INVESTORS SERVICES, LLC
COMMONWEALTH FINANCIAL NETWORK
KINGSWOOD WEALTH ADVISORS, LLC

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GEORGE CHRISTIAN FLOAN HART
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KELII JK KIAKONA
ERIC-ALLEN TSUTOMU CHING
JENNIFER LEE KUANONI
TYLER YOSHIO TAKAHATA
CHASE SANTOS

Other Offices

REGENCY CAPITAL MANAGEMENT INC. · HONOLULU, HI
WEALTH ALIGNMENT PARTNERS, LLC · HONOLULU, HI
WELLS FARGO CLEARING SERVICES, LLC · HONOLULU, HI
DIVERSIFY ADVISORY SERVICES, LLC · Honolulu, HI
DIVERSIFY ADVISORY SERVICES, LLC · HONOLULU, HI
CETERA INVESTMENT ADVISERS LLC · HONOLULU, HI
MML INVESTORS SERVICES, LLC · HONOLULU, HI
COMMONWEALTH FINANCIAL NETWORK · Honolulu, HI

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