MY
Maria Theresa B. Yamat
FIFTH THIRD SECURITIES
Chicago, IL 60606
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CRD#: 3076018
MY
Professional summary
Maria Theresa Bustos Yamat, who also goes by Mariatheresa Bustos Yamat, is a registered financial professional currently at FIFTH THIRD SECURITIES, INC. located in Chicago, Illinois and COMERICA SECURITIES located in Chicago, Illinois.
Maria Theresa is registered as a RR (Registered Representative) and started their career in finance in 1998. Maria Theresa has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mariatheresa Bustos Yamat
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 Maria Theresa Bustos Yamat'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, 2010 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 222 S. Riverside Plaza, Chicago, IL 60606RIA
BD
CRD#: 628
Chicago, IL
Current
April 17, 2026 - Present
COMERICA SECURITIES
Office #1: 222 S. Riverside Plaza, Chicago, IL 60606BD
CRD#: 17079
CHICAGO, IL
Past
August 16, 2004 - June 26, 2009
WELLS FARGO SECURITIES, LLC
BD
CRD#: 7665
CHICAGO, IL
Past
December 19, 2001 - August 2, 2004
BANC ONE CAPITAL MARKETS, INC.
BD
CRD#: 23065
CHICAGO, IL
Past
October 1, 1998 - November 20, 2001
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
September 15, 1998 - October 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
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(8/15/2012)
RR
Alaska(8/15/2012)
RR
Arizona(8/15/2012)
RR
Arkansas(8/15/2012)
RR
California(8/15/2012)
RR
Colorado(8/15/2012)
RR
Connecticut(8/15/2012)
RR
Delaware(8/15/2012)
RR
District of Columbia(8/15/2012)
RR
Florida(11/4/2010)
RR
Georgia(8/15/2012)
RR
Hawaii(8/15/2012)
RR
Idaho(8/15/2012)
RR
Illinois(11/4/2010)
RR
Indiana(8/15/2012)
RR
Iowa(8/15/2012)
RR
Kansas(8/15/2012)
RR
Kentucky(8/15/2012)
RR
Louisiana(8/15/2012)
RR
Maine(8/15/2012)
RR
Maryland(8/15/2012)
RR
Massachusetts(8/15/2012)
RR
Michigan(11/4/2010)
RR
Minnesota(8/15/2012)
RR
Mississippi(8/15/2012)
RR
Missouri(8/15/2012)
RR
Montana(8/15/2012)
RR
Nebraska(8/15/2012)
RR
Nevada(8/15/2012)
RR
New Hampshire(8/15/2012)
RR
New Jersey(8/15/2012)
RR
New Mexico(8/15/2012)
RR
New York(8/15/2012)
RR
North Carolina(11/4/2010)
RR
North Dakota(8/15/2012)
RR
Ohio(11/4/2010)
RR
Oklahoma(8/15/2012)
RR
Oregon(8/15/2012)
RR
Pennsylvania(8/15/2012)
RR
Rhode Island(8/15/2012)
RR
South Carolina(8/15/2012)
RR
South Dakota(8/15/2012)
RR
Tennessee(11/4/2010)
RR
Texas(8/15/2012)
RR
Utah(8/15/2012)
RR
Vermont(8/15/2012)
RR
Virginia(8/15/2012)
RR
Washington(8/15/2012)
RR
West Virginia(8/15/2012)
RR
Wisconsin(8/15/2012)
RR
Wyoming(8/15/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
COMERICA SECURITIES
ADVANTAGE INVESTMENT SERVICE | MANUBANK INVESTMENT SERVICES CORPORATION | COMERICA SECURITIES,INC. | COMERICA SECURITIES | COMERCIA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1000 Woodward Ave, Detroit, MI 48226
Mailing Address
36455 Corporate Drive Mail Code 3291, Farmington Hills, MI 48331
Phone number
(214) 462-1117
Established
Michigan since 10/10/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
211
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 |
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.
