Seiichi Shinomiya: Why Did Western International Fire Advisor?

Port Washington, New York financial advisor Seiichi Shinomiya (CRD# 1752347) was recently terminated by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Western International Securities broker is registered as an investment advisor with Dorado Wealth Management.

Mr. Shinomiya’s BrokerCheck report discloses his termination from Western International Securities. Filed in January 2025, the disclosure states that the firm fired him in connection with allegations that he violated firm policies “regarding personal receipt of client funds for one client at the client’s request.” The disclosure states further that the funds in question “were later returned to the client.”

As the firm’s website notes, Western International Securities is a part of the Atria Wealth Solutions, which in October 2024 was acquired by LPL Financial. “Atria was founded because something in our industry was being forgotten,” explains a page about the firm’s background. “We simply believed that with all the latest trends and technology, people lost sight of the greatest advantage financial professionals have: a real, personal connection to clients and members.”

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Seiichi Shinomiya holds 24 years of securities industry experience. Based in Port Washington, New York, he has been registered as an investment advisor with Dorado Wealth Management since October 2022. His registration history includes Western International Securities (2015-2019, 2021-2025), Citigroup Global Markets (2019-2021), Citigroup Global Markets (2009-2016), UBS Financial Services (2006-2007), Warburg Dillon Read (1994-1999), and Chase Securities (1992-1995). His credentials include the passage of four securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the National Commodity Futures Examination, or Series 3. He is licensed in New York. (Information current as of April 12, 2025.)

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