Yumi M. Kuwana
Professional summary
Yumi Mera Kuwana, who also goes by Yumi Mera, is a registered financial professional currently at COOK PINE SECURITIES LLC located in Greenwich, Connecticut.
Yumi is registered as a RR (Registered Representative) and started their career in finance in 1987. Yumi has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 79, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yumi Mera Kuwana's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2013 - Present
COOK PINE SECURITIES LLC
Office #1: 2 Sound View Drive 2nd Floor, Greenwich, CT 06830Office #2: 2 Sound View Drive 2nd Floor, Greenwich, CT 06830August 17, 1992 - August 19, 1998
MORGAN STANLEY & CO. LLC
July 25, 1991 - August 21, 1991
MORGAN STANLEY & CO. LLC
November 15, 1989 - April 2, 1990
LYNCH, JONES & RYAN LLC
January 1, 1987 - August 28, 1989
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/12/2013)
(3/20/2013)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
COOK PINE SECURITIES LLC
CRD#: 152365 / SEC#: , 8-68444
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IRREVOCABLE TRUST FOR DESCENDANTS OF EIICHIRO KUWANA | OWNER | |
| KUWANA, EIICHIRO | CEO/CCO | |
| KUWANA, YUMI MERA | PRESIDENT | |
| GENDRON, KAREN MARIE | CFO/FINOP | 1503330 |
Red Flags
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