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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

James Masashi Aoki

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

South Ogden, UT

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Search this name across graphsid dfx:ria:f279a988-2f47-efda-a456-e3b2bfa43e74

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 7, 2002 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: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
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: Jan 26, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 26, 1999
First registration: Feb 7, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1524697

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jun 10, 2025	n/a	yes	South Ogden, UT	Current employment
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Former SEC adviser	Oct 28, 2015	Mar 3, 2020	no	Ogden, UT\|OLYMPIA, WA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 14, 2015	Jun 10, 2025	no	OGDEN, UT\|SAN DIEGO, CA\|OGDEN, UT\|OGDEN, UT\|PLEASANT VIEW, UT\|OGDEN, UT\|ROY, UT	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Oct 14, 2015	no	MIDVALE, UT\|MIDVALE, UT	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	May 31, 2005	Oct 5, 2009	no	MIDVALE, UT\|SALT LAKE CITY, UT	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	May 31, 2005	no	SALT LAKE CITY, UT	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Feb 7, 2002	Jul 1, 2003	no	SALT LAKE CITY, UT	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
LPL FINANCIAL LLC	FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Jun 10, 2025	Oct 28, 2015	-3,513	Firm change after gap	Other
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Mar 3, 2020	Jun 10, 2025	1,925	Firm change after gap	RIA to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Oct 14, 2015	Oct 14, 2015	0	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
WELLS FARGO ADVISORS	AMERIPRISE ADVISOR SERVICES, INC.	May 31, 2005	May 31, 2005	0	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (7)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Jun 10, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 14, 2015 to Jun 10, 2025factForm ADV
→ FINANCIAL ADVOCATES INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Oct 28, 2015 to Mar 3, 2020factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Oct 14, 2015factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
May 31, 2005 to Oct 5, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to May 31, 2005factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Feb 7, 2002 to Jul 1, 2003factForm ADV

Dated events

Occurred
Jun 10, 2025
Advisor changed firm
James Masashi Aoki left Lpl Financial Llc for Financial Advocates Investment Management (registered 2015-10-28)
Form ADVobserved 5 days ago