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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

Sean Masao Umetsu

Advisor at CETERA INVESTMENT ADVISERS LLC

Honolulu, HI

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Search this name across graphsid dfx:ria:d42ca255-1433-cfb4-981d-1b7e273a55e3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 21, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 28, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Sep 28, 2000
First registration: Apr 21, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4203649

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 28, 2024	n/a	yes	Honolulu, HI	Current employment
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Aug 19, 2013	Mar 28, 2024	no	SAN DIEGO, CA\|KAPOLEI, HI\|AIEA, HI\|Honolulu, HI\|KANEOHE, HI\|MILILANI, HI\|Honolulu, HI	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Sep 28, 2012	May 10, 2013	no	HONOLULU, HI	Previous registration
BANKOH ADVISORS	Former SEC adviser	Mar 23, 2011	Sep 20, 2012	no	HONOLULU, HI\|KAILUA, HI\|LIHUE, HI	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Apr 21, 2004	Mar 22, 2011	no	LIHUE, HI\|HONOLULU, HI\|AIEA, HI\|HONOLULU, HI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CUSO FINANCIAL SERVICES, L.P.	CETERA INVESTMENT ADVISERS LLC	Mar 28, 2024	Mar 28, 2024	0	Firm change	Ibd to ibd
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	CUSO FINANCIAL SERVICES, L.P.	May 10, 2013	Aug 19, 2013	101	Firm change	Other
BANKOH ADVISORS	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Sep 20, 2012	Sep 28, 2012	8	Firm change	Other
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	BANKOH ADVISORS	Mar 22, 2011	Mar 23, 2011	1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
42132:105644:HI:2024-03-28	Mar 28, 2024	Mar 28, 2024	HONOLULU, HI	Firm change

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Mar 28, 2024 to presentfactForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Aug 19, 2013 to Mar 28, 2024factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Sep 28, 2012 to May 10, 2013factForm ADV
→ BANKOH ADVISORSRegistered adviserregistration: previous registration
Mar 23, 2011 to Sep 20, 2012factForm ADV

Dated events

Occurred
Mar 28, 2024
Advisor changed firm
Sean Masao Umetsu left Cuso Financial Services, L.P. for Cetera Investment Advisers Llc (registered 2024-03-28)
Form ADVobserved 6 days ago