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JO

Joe Okabe

STRATEGIC ADVISERS LLC
HIGHLANDS RANCH, CO
Some features on this profile are disabled
CRD#: 3271900
JO

Professional summary

Joe Okabe, CFP®, ChFC® is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Highlands Ranch, Colorado and FIDELITY BROKERAGE SERVICES LLC located in Greenwood Village, Colorado.

Joe is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joe has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
OBA-17889|OrgNmn:LUX3, LLC|Org Addr:Highlands ,Colorado,US|OBA Nature:Amazon Arbitrage|Invst Rel:N|Title:Member|Duties:Wife will be President/CEO of LLC. I have no involvement except as a member, limited participation on my part.|StrtDt:07-01-24|TotHrs/mon:2|TrdHrs/mon:0|OBA-109098|OrgNmn:LUX4|Org Addr:Highlands ,Colorado,US|OBA Nature:FBA - Amazon Arbitrage|Invst Rel:N|Title:Officer|Duties:None - Busniness is my spouse's business|StrtDt:05-13-24|TotHrs/mon:1|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joe Okabe's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

ChFC®

Chartered Financial Consultant

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 6501 S Fiddlers Green Circle Ste 300 - 600, Greenwood Village, CO 80111-5039
RIA
CRD#: 104555
HIGHLANDS RANCH, CO
Current

March 27, 2012 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 6501 S Fiddler's Green Circle Ste 300 - 600, Greenwood Village, CO 80111-4932
BD
CRD#: 7784
Greenwood Village, CO
Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
GREENWOOD VILLAGE, CO
Past

November 26, 2014 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
GLENDALE, AZ
Past

January 3, 2013 - November 6, 2014

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
GLENDALE, AZ
Past

August 12, 2005 - October 31, 2006

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MANALAPAN, NJ
Past

August 12, 2005 - October 31, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MANALAPAN, NJ
Past

July 22, 2002 - August 16, 2005

NEW ENGLAND SECURITIES

RIA
CRD#: 615
NEPTUNE, NJ
Past

March 20, 2000 - August 16, 2005

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

September 22, 1999 - March 8, 2000

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(1/12/2021)
IAR
Colorado
(3/31/2025)
RR
Massachusetts
(11/17/2020)
RR
Texas
(11/17/2020)
IAR
Texas
(3/31/2025)
RR
Utah
(11/17/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/26/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/19/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/26/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/17/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/10/2012
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/30/2012
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)
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Contact information

Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)
FIDELITY STRATEGIC DISCIPLINES (11/10/2025)
FIDELITY WEALTH SERVICES (9/10/2025)
STRATEGIC ADVISERS LLC (9/10/2025)
FIDELITY MANAGED FIDFOLIOS (3/31/2025)
FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)
FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2025
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

STRATEGIC ADVISERS LLC

CRD#: 104555Highlands Ranch, CO

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