Masahiro A. Yamazaki

OXLER PRIVATE WEALTH

NEW YORK, NY 10019

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CRD#: 2526772

Professional summary

Masahiro Alberto Yamazaki, CPWA®, who also goes by Masa Yamazaki, Masahiro Yamazaki, is a registered financial advisor currently at OXLER PRIVATE WEALTH located in New York, New York.

Masahiro is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Masahiro has worked at 6 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 62 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Masa Yamazaki | Masahiro Yamazaki

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Masahiro Alberto Yamazaki's CRS (Customer Relationship Summary).

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®

CPWA^®

Certified Private Wealth Advisor

Start date: 2016-10-11

Expire date: 2024-09-30

Experience

Current

August 14, 2020 - Present

OXLER PRIVATE WEALTH

Office #1: 3 Columbus Circle Suite 2120, New York, NY 10019Office #2: 800 Westchester Ave Suite 641n, Rye Brook, NY 10573

RIA

CRD#: 309684

NEW YORK, NY

Past

September 5, 2014 - August 24, 2020

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

NEW YORK, NY

Past

August 5, 2014 - August 24, 2020

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

May 2, 2007 - May 21, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 3, 1997 - January 14, 1999

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 11, 1997 - November 3, 1997

CIBC WOOD GUNDY SECURITIES CORP.

CRD#: 3801

NEW YORK, NY

Past

September 12, 1994 - August 9, 1996

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OXLER PRIVATE WEALTH

OXLER PRIVATE WEALTH | OXLER PRIVATE WEALTH LLC

CRD#: 309684 / SEC#: 801-119258

RIA

Registered Investment Advisory firm - (8/10/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/18/2020)

IAR

New York
(5/20/2021)

IAR

Texas
(8/14/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/4/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/2014

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 8/29/1994

Corporate Securities Limited Representative Examination

Current Firm

OXLER PRIVATE WEALTH

OXLER PRIVATE WEALTH | OXLER PRIVATE WEALTH LLC

CRD#: 309684 / SEC#: 801-119258

RIA

Registered Investment Advisory firm - (8/10/2020 Approved)

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Contact information

Main Address

800 Westchester Ave Suite 641n, Rye Brook, NY 10573

Mailing Address

Phone number

(212) 785-2860

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OXLER PRIVATE WEALTH ADV BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	289
AUM (Assets Under Management)	$ 539,575,488

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.

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Advisor Monitoring

Firm Stability Insights

Masahiro A. Yamazaki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Masahiro Alberto Yamazaki's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CITIGROUP GLOBAL MARKETS INC.

CIBC WORLD MARKETS CORP.

CIBC WOOD GUNDY SECURITIES CORP.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

OXLER PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2014

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 7

Date: 8/5/2014

Series 62

Date: 8/29/1994

Current Firm

OXLER PRIVATE WEALTH

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OXLER PRIVATE WEALTH

TRUST BUT VERIFY

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