SY
Stephen Y. Yamane
LEERINK PARTNERS LLC
BOSTON, MA 02109
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CRD#: 1820497
SY
Professional summary
Stephen Yoshiu Yamane is a registered financial professional currently at LEERINK PARTNERS LLC located in Boston, Massachusetts.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1988. Stephen has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Yoshiu Yamane's 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®
NoneExperience
Current
July 13, 2020 - Present
LEERINK PARTNERS LLC
Office #1: 53 State Street 40th Floor, Boston, MA, 02109BD
CRD#: 39011
BOSTON, MA
Past
June 4, 2018 - September 13, 2019
SEAPORT GLOBAL SECURITIES LLC
BD
CRD#: 116270
Boston, MA
Past
March 1, 2016 - June 20, 2018
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
BOSTON, MA
Past
October 18, 2013 - February 29, 2016
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
BOSTON, MA
Past
July 20, 2010 - October 24, 2013
FM PARTNERS HOLDINGS LLC
BD
CRD#: 134736
BOSTON, MA
Past
May 27, 2008 - July 16, 2010
PIPER SANDLER & CO.
BD
CRD#: 665
BOSTON, MA
Past
July 1, 1998 - May 27, 2008
COWEN AND COMPANY
BD
CRD#: 7616
BOSTON, MA
Past
October 8, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Past
January 28, 1995 - October 17, 1997
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 20, 1988 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
California(7/31/2020)
RR
Colorado(7/31/2020)
RR
Connecticut(7/23/2020)
RR
Delaware(2/23/2022)
RR
Florida(3/14/2024)
RR
Georgia(8/6/2021)
RR
Illinois(6/15/2021)
RR
Kansas(12/8/2022)
RR
Maryland(3/4/2021)
RR
Massachusetts(7/13/2020)
RR
Minnesota(1/7/2022)
RR
Missouri(1/7/2022)
RR
New Mexico(9/5/2024)
RR
New York(7/23/2020)
RR
Pennsylvania(9/5/2024)
RR
South Carolina(9/5/2024)
RR
Texas(12/2/2022)
RR
Wisconsin(9/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/24/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
LP
LEERINK PARTNERS LLC
LEERINK | SVB SECURITIES LLC | SVB LEERINK LLC | LEERINK, SWANN, GARRITY, SOLLAMI, YAFFE & WYNN, INC. | LEERINK SWANN LLC | LEERINK SWANN & COMPANY | LEERINK SWANN & CO., INC. | LEERINK PARTNERS, LLC | LEERINK PARTNERS LLC | LEERINK PARTNERS | LEERINK & CO., INC.
CRD#: 39011 / SEC#: 801-68264, 8-48535
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
53 State Street 40th Floor, Boston, MA, 02109
Mailing Address
53 State Street 40th Floor 40th Floor, Boston, MA, 02109
Phone number
(617) 918-4900
Established
Delaware since 07/19/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEERINK INTERMEDIATE HOLDINGS LLC | MEMBER | |
| CASEY, KEVIN MICHAEL | CHIEF COMPLIANCE OFFICER | 4754440 |
| DAVIDSON, THOMAS ADAM | SENIOR MANAGING DIRECTOR | 2248233 |
| DUBIN, DANIEL BARRY | SENIOR MANAGING DIRECTOR | 3231063 |
| GENTILE, JOSEPH ROBERT | CHIEF ADMINISTRATIVE OFFICER | 2545927 |
| HEINEMAN, STEVEN P | GENERAL COUNSEL | 5386950 |
| JURKIEWICZ, GREGG MARTIN | FINOP | 4440135 |
| LEERINK, JEFFREY ALAN | CEO | 1718986 |
| OLSON, ERIC PATRICK | PRINCIPAL OPERATIONS OFFICER | 2542584 |
Disclosures
| Regulatory Event | 6 |
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.
Company Information
LEERINK PARTNERS LLC
CRD#: 39011Boston, MA 02109TRUST BUT VERIFY
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