CY
Cathy S. Yamashita
CANTOR FITZGERALD & CO.
Summit, NJ 07901
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CRD#: 2797756
CY
Professional summary
Cathy S Yamashita, who also goes by Cathy Sue Mysel, Cathy Sue Yamashita, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Summit, New Jersey.
Cathy is registered as a RR (Registered Representative) and started their career in finance in 2001. Cathy has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cathy Sue Mysel | Cathy Sue Yamashita
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 Cathy S Yamashita'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
January 22, 2021 - Present
CANTOR FITZGERALD & CO.
Office #1: 47 Maple Street Atrium 2nd Floor, Summit, NJ 07901BD
CRD#: 134
Summit, NJ
Past
June 17, 2008 - April 4, 2013
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
January 27, 2005 - June 18, 2008
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
December 6, 2004 - January 21, 2005
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
June 5, 2001 - July 30, 2004
COWEN AND COMPANY
BD
CRD#: 7616
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
Alabama(5/12/2022)
RR
California(5/12/2022)
RR
Connecticut(5/12/2022)
RR
Delaware(5/12/2022)
RR
Florida(5/12/2022)
RR
Illinois(5/12/2022)
RR
Massachusetts(5/12/2022)
RR
Mississippi(11/2/2022)
RR
Nevada(5/12/2022)
RR
New Jersey(10/11/2022)
RR
New York(1/30/2021)
RR
North Carolina(5/12/2022)
RR
Ohio(5/13/2022)
RR
Pennsylvania(5/12/2022)
RR
Rhode Island(5/12/2022)
RR
Texas(5/12/2022)
RR
Utah(5/12/2022)
RR
Wisconsin(5/12/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/22/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX 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 ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
