Yoko Hubley
Professional Summary
Yoko Hubley, who also goes by Yoko Ooka, is a registered financial advisor currently at COMMERZ MARKETS LLC located in New York, New York. Yoko is registered as a RR (Registered Representative) and started their career in finance in 2001. Yoko has worked at 4 firms and has passed the Series 63, Series 99TO, SIE and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Yoko Ooka
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
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Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
COMMERZ MARKETS LLC | DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC | DRESDNER KLEINWORT SECURITIES LLC | DRESDNER KLEINWORT BENSON NORTH AMERICA LLC | COMMERZBANK
Contact Information
Main Address
225 Liberty Street, New York, NY 10281Mailing Address
225 Liberty Street, New York, NY 10281Phone Number
(212) 266-7200Established
Delaware since 05/28/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERZBANK AG | SHAREHOLDER | — |
| BARBELLA, JOSEPH | CHIEF COMPLIANCE OFFICER | 5058379 |
| DEFREN, JOHN CHARLES | CHIEF LEGAL OFFICER | 5917742 |
| GEREMIA, JOHN MICHAEL | PRESIDENT/MEMBER BOARD OF MANAGERS | 1794769 |
| HOLSTEN, ANDREAS FRITZ BRUNO | MEMBER BOARD OF MANAGERS | — |
| HUBLEY, YOKO | CFO/FINOP | 4297053 |
| LI, SU-CHANG | PRINCIPAL OPERATIONS OFFICER/FINOP | 4990155 |
| LLOYD, KEITH ROSWELL | MEMBER BOARD OF MANAGERS | 2836268 |
| ROYAN, LEE-ANN | CHIEF OPERATING OFFICER | 4860551 |
| SOENNECKEN SCHMIDT, SILKE | MEMBER BOARD OF MANAGERS | — |
| TONER, JOSEPH GREGORY | TREASURER | 4910635 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(12/6/2005)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Yoko Hubley's CRS (Customer Relationship Summary).
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