Unclaimed Profile

Joni Wada

OCCIDENTAL ASSET MANAGEMENT, LLC·BURLINGAME, California

Clean recordOCCIDENTAL ASSET MANAGEMENT, LLC

301 CALIFORNIA DRIVE #9, BURLINGAME, CA 94010CRD# 6796701Firm CRD# 168650

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Joni Wada · BURLINGAME, CA

Registration

CRD #6796701 · OCCIDENTAL ASSET MANAGEMENT, LLC

Brand Profile

Not yet started

Disclosure history

Clean record · no disclosure events on file

About

Joni Wada is a registered financial advisor based in BURLINGAME, California, affiliated with OCCIDENTAL ASSET MANAGEMENT, LLC. This profile is generated from public SEC and FINRA registration data.

Focus Areas

Specialties

Financial Planning

Investment Management

Fee-Only Advisory

Client Types

Individuals

High Net Worth Individuals

Introduction

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Firm Overview

Firm

OCCIDENTAL ASSET MANAGEMENT, LLC

AUM

$625M

Regulatory assets under management

Employees

Total firm employees

View all advisors at OCCIDENTAL ASSET MANAGEMENT, LLC →

Services

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Background

Compensation

Percentage of AUM

Regulatory

SEC/IARD CRD# 6796701

Firm CRD# 168650

View on FINRA BrokerCheck →

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Frequently Asked Questions

What services does Joni Wada offer?

Joni Wada specializes in Financial Planning, Investment Management, Fee-Only Advisory. Contact their office in BURLINGAME, California for a consultation.

What are Joni Wada's credentials?

Joni Wada is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Joni Wada located?

Joni Wada is based in BURLINGAME, California, working with OCCIDENTAL ASSET MANAGEMENT, LLC. Their office serves clients in the BURLINGAME metropolitan area and surrounding communities.

How does Joni Wada charge for services?

Joni Wada's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is OCCIDENTAL ASSET MANAGEMENT, LLC?

OCCIDENTAL ASSET MANAGEMENT, LLC has approximately 12 employees and manages $625M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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