Richard H. Yada
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Hiroyuki Yada was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2016 - July 7, 2017
GENWEALTH FINANCIAL ADVISORS, LLC
April 1, 2011 - December 31, 2015
NATIONAL COLLEGE PLANNING, LLC
May 20, 2009 - March 17, 2017
LPL FINANCIAL LLC
May 20, 2009 - March 17, 2017
LPL FINANCIAL LLC
May 3, 2002 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
May 3, 2002 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
June 26, 1991 - May 7, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 1983 - May 7, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 1982 - May 12, 1986
STRUCTURED SHELTERS SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GENWEALTH FINANCIAL ADVISORS, LLC
CRD#: 144979 / SEC#:
Contact information
Red Flags
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