CY
Charles A. Yamarone
HOULIHAN LOKEY CAPITAL
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 2190400
CY
Professional summary
Charles Anthony Yamarone III, who also goes by Chuck Yamarone, is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in Los Angeles, California.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1992. Charles has worked at 5 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chuck Yamarone
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 Charles Anthony Yamarone III'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
November 4, 2009 - Present
HOULIHAN LOKEY CAPITAL, INC.
Office #1: 10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067BD
CRD#: 17708
Los Angeles, CA
Past
January 2, 2009 - October 30, 2009
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 42941
LOS ANGELES, CA
Past
January 2, 2002 - February 23, 2009
LIBRA SECURITIES, LLC
BD
CRD#: 104161
LOS ANGELES, CA
Past
January 4, 1999 - December 31, 2001
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
March 11, 1992 - January 4, 1999
LIBRA INVESTMENTS, INC.
BD
CRD#: 25519
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
Alabama(4/15/2011)
RR
Alaska(4/15/2011)
RR
Arizona(4/15/2011)
RR
Arkansas(4/15/2011)
RR
California(11/4/2009)
RR
Colorado(4/15/2011)
RR
Connecticut(4/15/2011)
RR
Delaware(4/15/2011)
RR
District of Columbia(4/15/2011)
RR
Florida(4/15/2011)
RR
Georgia(4/15/2011)
RR
Hawaii(4/15/2011)
RR
Idaho(4/15/2011)
RR
Illinois(4/15/2011)
RR
Indiana(4/15/2011)
RR
Iowa(4/15/2011)
RR
Kansas(4/15/2011)
RR
Kentucky(4/15/2011)
RR
Louisiana(4/15/2011)
RR
Maine(4/15/2011)
RR
Maryland(4/15/2011)
RR
Massachusetts(4/15/2011)
RR
Michigan(4/15/2011)
RR
Minnesota(4/15/2011)
RR
Mississippi(4/15/2011)
RR
Missouri(4/15/2011)
RR
Montana(4/15/2011)
RR
Nebraska(4/15/2011)
RR
Nevada(4/15/2011)
RR
New Hampshire(4/15/2011)
RR
New Jersey(4/15/2011)
RR
New Mexico(4/15/2011)
RR
New York(4/15/2011)
RR
North Carolina(4/18/2011)
RR
North Dakota(4/15/2011)
RR
Ohio(4/18/2011)
RR
Oklahoma(4/15/2011)
RR
Oregon(4/15/2011)
RR
Pennsylvania(4/15/2011)
RR
Rhode Island(4/15/2011)
RR
South Carolina(4/15/2011)
RR
South Dakota(4/15/2011)
RR
Tennessee(10/26/2021)
RR
Texas(4/15/2011)
RR
Utah(4/15/2011)
RR
Vermont(4/15/2011)
RR
Virginia(4/15/2011)
RR
Washington(4/15/2011)
RR
West Virginia(4/15/2011)
RR
Wisconsin(4/15/2011)
RR
Wyoming(4/15/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/27/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HL
HOULIHAN LOKEY CAPITAL, INC.
HLHZ CAPITAL, A CALIFORNIA LIMITED PARTNERSHIP | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, L.P. | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN LOKEY CAPITAL, INC.
CRD#: 17708 / SEC#: , 8-35643
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Mailing Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Phone number
(310) 553-8871
Established
California since 01/09/1996
Firm type
Corporation
Fiscal year end
March
Firm Size
Large
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC | DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC. | |
| ADELSON, SCOTT JOSEPH | PRESIDENT/CEO AND DIRECTOR (HLI) | 2147111 |
| ALLEY, JAMES LINDSEY | TREASURER/CHIEF FINANCIAL OFFICER (HLI) | 2394515 |
| BEISER, SCOTT LEE | VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI) | 2026185 |
| BEN-CANAAN, MARC AVI | CCO/AMLCO | 4885345 |
| CRAIN, CHRISTOPHER MADISON | SECRETARY/GENERAL COUNSEL | |
| TANIGUCHI, EDWARD NEAL | CHIEF FINANCIAL OFFICER, FINOP | 4632869 |
| YAMARONE, CHARLES ANTHONY III | CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI | 2190400 |
Disclosures
| Regulatory Event | 2 |
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.
