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Seiichi Shinomiya

Dorado Wealth Management LLC

Port Washington, NY

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Current Employers
Dorado Wealth Management Llc

Port Washington, NY • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-10-21
  • NY RA
    APPROVED
    Since 2022-10-21

Branch Locations

Port Washington, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Western International Securities, Inc. Pasadena CA 06/2016 04/2019
Citigroup Global Markets Inc. New York NY 04/2019 01/2021
Western International Securities, Inc. Pasadena CA 01/2021 01/2025
Dorado Wealth Management Llc New York NY 10/2022 Present
Previous Registrations
  • 2021-01-29 → 2022-10-20
    Western International Securities, Inc.
    New York, NY
    Massapequa, NY
  • 2019-04-29 → 2021-02-12
    Citigroup Global Markets Inc.
    New York, NY
  • 2016-09-22 → 2019-04-22
    Western International Securities, Inc.
    New York, NY
  • 2006-10-06 → 2007-08-29
    Ubs Financial Services Inc.
    Westport, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-12-01
  • S66 Uniform Combined State Law Examination
    2017-12-01

View on SEC IAPD

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