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Steven M. Yamagata

CASEY SECURITIES LLC
Greenbrae, CA 94904
Some features on this profile are disabled
CRD#: 2667508
SY

Professional summary

Steven Mako Yamagata is a registered financial professional currently at CASEY SECURITIES LLC located in Greenbrae, California.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2003. Steven has worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 7 and Series 45 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Mako Yamagata'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®
None

Experience

Current

April 20, 2024 - Present

CASEY SECURITIES LLC

Office #1: 100 Drakes Landing Road Building 100a - 2nd Floor Suite 210, Greenbrae, CA 94904Office #2: 100 Drakes Landing Road Building 100a - 2nd Floor, Greenbrae, CA 94904
BD
CRD#: 35230
Greenbrae, CA
Past

November 6, 2020 - July 30, 2021

RFA SECURITIES LLC

BD
CRD#: 305963
PHILADELPHIA, PA
Past

June 1, 2012 - January 2, 2024

CASEY SECURITIES LLC

BD
CRD#: 35230
GREENBRAE, CA
Past

October 1, 2007 - January 12, 2016

NEW ALBION PARTNERS LLC

BD
CRD#: 119518
NEW YORK, NY
Past

November 13, 2006 - October 1, 2007

CASEY SECURITIES LLC

BD
CRD#: 35230
GREENBRAE, CA
Past

December 9, 2004 - June 14, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 21, 2003 - December 9, 2004

KNIGHT EXECUTION PARTNERS LLC

BD
CRD#: 104228
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/9/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 5/24/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 45
Date: 3/18/1998
PCX Floor Broker Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.

Current Firm

CS
CASEY SECURITIES LLC
CASEY SECURITIES LLC | RFA SECURITIES | CASEY SECURITIES, LLC | CASEY SECURITIES, INC.

CRD#: 35230 / SEC#: , 8-21205

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
100 Drakes Landing Road Building 100a - 2nd Floor Suite 210, Greenbrae, CA 94904
Mailing Address
100 Drakes Landing Road Building 100a - 2nd Floor Suite 210, Greenbrae, CA 94904
Phone number
(415) 954-5579
Established
Delaware since 01/01/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FCF GROUP INTERMEDIATE HOLDINGS LLC100% DIRECT OWNER
POSTREL, HELENE BERSONPRINCIPAL FINANCIAL OFFICER2240945
POSTREL, HELENE BERSONPRINCIPAL OPERATIONS OFFICER2240945
POSTREL, HELENE BERSONFINOP2240945
VORA, ANISH MCEO5466748
WONG, WILLIE LCHIEF COMPLIANCE OFFICER4170997

Disclosures

Regulatory Event19

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

CASEY SECURITIES LLC

CRD#: 35230Greenbrae, CA 94904

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