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YS

Yuki R. Shimada

TOURMALINE PARTNERS
Sydney Nsw, 2000
Some features on this profile are disabled
CRD#: 3130832
YS

Professional summary

Yuki Richard Shimada is a registered financial professional currently at TOURMALINE PARTNERS, LLC .

Yuki is registered as a RR (Registered Representative) and started their career in finance in 2000. Yuki has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 7 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 Yuki Richard Shimada'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

September 25, 2020 - Present

TOURMALINE PARTNERS, LLC

Office #1: 35 Lime Street Suite 502, King Street Wharf, Sydney Nsw 2000
BD
CRD#: 154492
Sydney Nsw,
Past

January 6, 2004 - January 11, 2010

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 16, 2002 - December 3, 2003

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

December 1, 2000 - June 28, 2001

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

December 1, 2000 - October 21, 2002

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
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
Connecticut
(10/6/2020)
RR
New York
(10/6/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/25/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/3/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/30/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TP
TOURMALINE PARTNERS, LLC
TOURMALINE PARTNERS, LLC

CRD#: 154492 / SEC#: , 8-68644

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

Main Address
680 Washington Blvd. 10th Floor, Stamford, CT 06901
Mailing Address
680 Washington Blvd. 10th Floor, Stamford, CT 06901
Phone number
(203) 302-7300
Established
Connecticut since 06/17/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (33 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TOUR INTERMEDIATE 2, LLCSOLE MEMBER
CONWAY, JAMES ROBERTCFO, FINOP4368039
DISPIGNA, DANIEL NMNCOO2902260
HANTMAN, AARON SAMUELCEO3020334
OLENCKI, JAMES LOUIS MR.CHIEF COMPLIANCE OFFICER5602387

Disclosures

Regulatory Event3

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

TOURMALINE PARTNERS, LLC

CRD#: 154492Sydney Nsw 2000

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