Martin L. Yokosawa

LANDOLT SECURITIES

Naperville, IL

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CRD#: 1297489

Professional summary

Martin Lauri Yokosawa, who also goes by Yoko Yokosawa, is a registered financial advisor currently at LANDOLT SECURITIES, INC. located in Naperville, Illinois.

Martin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Martin has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Yoko Yokosawa

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.

President/owner of Torii Asset Management since Nov. 2008. Provide Investment advisory services at 9S040 Stearman Dr. Naperville, IL. 90% of my time is spent working providing investment advice for LSI/TAM clients. Create, monitor and adjust investment accounts for clients. Began as Trustee for family trust in April 2021, 3 hours per month, none during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Lauri Yokosawa's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Martin Lauri Yokosawa'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®

None

Experience

Current

October 31, 2008 - Present

LANDOLT SECURITIES, INC.

RIA

CRD#: 28352

Naperville, IL

Current

October 31, 2008 - Present

LANDOLT SECURITIES, INC.

RIA

CRD#: 28352

Naperville, IL

Past

October 14, 1997 - August 7, 2009

OBERWEIS ASSET MANAGEMENT INC

RIA

CRD#: 105471

LISLE, IL

Past

February 11, 1997 - October 8, 2008

OBERWEIS SECURITIES, INC.

CRD#: 42060

LISLE, IL

Past

October 10, 1994 - December 31, 1996

THE CHICAGO CORPORATION

CRD#: 1449

CHICAGO, IL

Past

November 29, 1988 - October 14, 1994

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

April 24, 1986 - December 17, 1988

OBERWEIS SECURITIES, INC.

CRD#: 7739

Past

February 22, 1986 - April 8, 1986

GARY-WHEATON INVESTMENT SERVICES, INC.

CRD#: 17080

Past

July 10, 1985 - February 5, 1986

BOYLE SECURITIES, INC.

CRD#: 10130

Past

September 13, 1984 - June 19, 1985

FRANCIS MANZO & COMPANY, INCORPORATED

CRD#: 8187

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.

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

Arizona
(9/7/2016)

California
(7/5/2012)

Colorado
(1/12/2015)

Florida
(3/1/2011)

Illinois
(10/31/2008)

IAR

Illinois
(10/31/2008)

Michigan
(1/4/2021)

North Carolina
(7/28/2016)

IAR

North Carolina
(2/6/2023)

Tennessee
(12/7/2015)

Texas
(7/5/2012)

IAR

Texas
(2/7/2023)

Utah
(9/11/2015)

Virginia
(1/2/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/2/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/3/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/6/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LANDOLT SECURITIES, INC.

CRD#: 28352 / SEC#: , 8-43645

Illinois

Registered Investment Advisory firm - SEC (10/10/2006 Approved)

Indiana

Registered Investment Advisory firm - SEC (3/23/2020 Approved)

North Carolina

Registered Investment Advisory firm - SEC (8/16/2017 Approved)

Ohio

Registered Investment Advisory firm - SEC (7/6/2017 Approved)

Texas

Registered Investment Advisory firm - SEC (4/28/2020 Approved)

Wisconsin

Registered Investment Advisory firm - SEC (3/26/2002 Approved)

Wyoming

Registered Investment Advisory firm - SEC (7/25/2017 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

900 North Shore Drive Suite 279, Lake Bluff, IL 60044

Mailing Address

900 North Shore Drive Suite 279, Lake Bluff, IL 60044

Phone number

(847) 838-5151

Established

Wisconsin since 11/09/1989

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MCKIERNAN, DONALD TRENDLEY	CEO, CO-CCO, & FINOP	1305965
MCKIERNAN, MATTHEW	CHIEF FINANCIAL OFFICER	7006128
REINHARD, TYLER JOHN	COO / CO-CCO	6366204

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 105,626,273

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Martin L. Yokosawa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Lauri Yokosawa's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Martin Lauri Yokosawa's CRS (Customer Relationship Summary).

Certified licenses

Experience

LANDOLT SECURITIES, INC.

OBERWEIS ASSET MANAGEMENT INC

OBERWEIS SECURITIES, INC.

THE CHICAGO CORPORATION

HAMILTON INVESTMENTS, INC.

OBERWEIS SECURITIES, INC.

GARY-WHEATON INVESTMENT SERVICES, INC.

BOYLE SECURITIES, INC.

FRANCIS MANZO & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/1994

Series 63

Date: 4/3/1989

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 4

Date: 11/6/2001

Series 24

Date: 5/6/1997

FINRA

Current Firm

LANDOLT SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LANDOLT SECURITIES, INC.

TRUST BUT VERIFY

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