Derek H. Yamada
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.
Derek Hiroshi Yamada was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 1987. Derek had worked at 9 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 1991 - September 9, 1991
PRUDENTIAL EQUITY GROUP, LLC
October 31, 1989 - May 3, 1991
FIRST CHOICE SECURITIES CORP.
January 25, 1989 - July 3, 1989
U.S. ADVISORS, INC.
November 17, 1988 - December 21, 1988
GRAYSTONE NASH, INC.
May 25, 1988 - December 6, 1988
L.F. THOMPSON & COMPANY
November 18, 1987 - May 26, 1988
ESCALATOR SECURITIES, INC.
November 4, 1987 - November 9, 1987
SENTRA SECURITIES CORPORATION
April 16, 1987 - November 16, 1987
FIRST EAGLE, INC.
March 25, 1987 - May 2, 1987
NORTH AMERICAN CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
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.
