James Masashi Aoki

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 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:

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

Current Employers

Employment History

• 10/2015 → 05/2025
  Lpl Financial Llc
  Ogden, UT
• 10/2015 → 05/2025
  Wasatch Peaks Credit Union
  Ogden, UT
• 10/2015 → 03/2020
  Financial Advocates Investment Management
  Ogden, UT
• 05/2025 → Present
  Raymond James Financial Services Advisors, Inc.
  South Ogden, UT
• 05/2025 → Present
  Raymond James Financial Services, Inc.
  South Ogden, UT
• 09/2019 → 12/2023
  Institute Of Bhuddist Studies
  Berkeley, CA

Previous Registrations

• 2015-10-14 → 2025-06-10
  Lpl Financial Llc
  Ogden, UT
  San Diego, CA
  Ogden, UT
  Roy, UT
  Ogden, UT
  Pleasant View, UT
  Ogden, UT
• 2015-10-28 → 2020-03-03
  Financial Advocates Investment Management
  Ogden, UT
  Olympia, WA
• 2009-10-05 → 2015-10-14
  Ameriprise Financial Services, Llc
  Midvale, UT
  Midvale, UT
• 2005-05-31 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  Midvale, UT
  Salt Lake City, UT
• 2003-07-01 → 2005-05-31
  Wells Fargo Clearing Services, Llc
  Salt Lake City, UT
• 2002-02-07 → 2003-07-01
  Prudential Equity Group, Llc
  Salt Lake City, UT

Other Businesses

1) ANA Financial Services, LLC Not investment-related Ogden, UT DBA/Support Company- Owner Other 05/2025 81+ hours per month 41+ hours during trading I/R: No Duties: DBA used for our Raymond James (RJFS) business (2)Name of Business: Address: 5929 Fashion Point Dr, South Ogden, UT, 84403-4672, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 07/15/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Independent agent for Medicare and non-variable insurance.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-02-04
• S63 Uniform Securities Agent State Law Examination
  1999-01-26