Satoshi Yamada
Professional summary
Satoshi Yamada is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in New York, New York.
Satoshi is registered as a RR (Registered Representative) and started their career in finance in 1988. Satoshi has worked at 3 firms and has passed the Series 63, SIE, Series 16, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Satoshi Yamada's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2010 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 277 Park Avenue, New York, NY 10172February 10, 1998 - March 2, 2009
CITIGROUP GLOBAL MARKETS INC.
December 19, 1988 - September 1, 1998
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Current Firm
SMBC NIKKO SECURITIES AMERICA, INC.
CRD#: 28602 / SEC#: , 8-43852
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMBC AMERICAS HOLDINGS, INC. | SHAREHOLDER | |
| ASHBY, SCOTT ALLEN | PRESIDENT, CEO, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 2883181 |
| DAVISON, RICHARD PATRICK | DIRECTOR | 4890514 |
| EISENBERG, RICHARD ALLAN | DEPUTY PRESIDENT, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 3118461 |
| ISHIKAWA, TSUKASA | DEPUTY PRESIDENT, DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 7948966 |
| KAWARA, AKIHIRO | DEPUTY HEAD OF GLOBAL MARKETS, AMERICAS, DIRECTOR, CHAIRPERSON OF THE BOARD | 7471377 |
| KEE, DAVID | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6238539 |
| KIM, SANGJOON | CHIEF RISK OFFICER, EXECUTIVE COMMITTEE MEMBER | 2545295 |
| KRANZ, AVERY H | CHIEF COMPLIANCE OFFICER, EXECUTIVE COMMITTEE MEMBER | 2795963 |
| NONAKA, MASAHITO | HEAD OF GLOBAL MARKETS, AMERICAS, DEPUTY PRESIDENT, DIRECTOR, EXECUTIVE COMMITTEE MEMBER | 7221513 |
| OISHI, SHUMPEI | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6100774 |
| PIETRO, BRIAN | FINOP, PRINCIPAL OPERATIONS OFFICER, DEPUTY CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 5323643 |
| TUN, NATHAN | PRINCIPAL FINANCIAL OFFICER | 5551828 |
Disclosures
| Regulatory Event | 1 |
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