Marisa S. Yafai

CAMBYSES FINANCIAL ADVISORS

North Hollywood, CA

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CRD#: 4806962

Professional summary

Marisa Schwartz Yafai, who also goes by Marisa G Schwartz, Marisa Gina Schwartz, is a registered financial advisor currently at CAMBYSES FINANCIAL ADVISORS located in North Hollywood, California.

Marisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Marisa has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marisa G Schwartz | Marisa Gina Schwartz

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) - RIA

Click below to view Marisa Schwartz Yafai'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 11, 2015 - Present

CAMBYSES FINANCIAL ADVISORS

RIA

CRD#: 230786

North Hollywood, CA

Past

January 30, 2013 - November 17, 2014

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

BEVERLY HILLS, CA

Past

January 2, 2013 - November 17, 2014

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

BEVERLY HILLS, CA

Past

January 6, 2012 - December 14, 2012

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

ENCINO, CA

Past

January 6, 2012 - December 14, 2012

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

ENCINO, CA

Past

January 24, 2011 - January 6, 2012

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

ENCINO, CA

Past

August 30, 2010 - January 6, 2012

WORLD GROUP SECURITIES, INC.

CRD#: 114473

ENCINO, CA

Past

March 30, 2009 - August 30, 2010

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LOS ANGELES, CA

Past

August 15, 2008 - February 27, 2009

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

October 13, 2004 - March 24, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN FRANCISCO, CA

Past

October 4, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 4, 2004 - March 24, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SAN FRANCISCO, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(9/11/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/12/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/17/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/1/2004

General Securities Representative Examination

Current Firm

CAMBYSES FINANCIAL ADVISORS

CRD#: 230786 / SEC#:

California

Registered Investment Advisory firm - (7/31/2015 Approved)

Minnesota

Registered Investment Advisory firm - (11/25/2015 Approved)

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Contact information

Main Address

North Hollywood, CA

Mailing Address

6227 Morse Avenue 105, North Hollywood, CA 91606

Phone number

(818) 489-4228

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 9,789,480

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.

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Marisa S. Yafai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marisa Schwartz Yafai's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2004

SIE

Date: 11/17/2014

Series 7

Date: 10/1/2004

Current Firm

CAMBYSES FINANCIAL ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAMBYSES FINANCIAL ADVISORS

TRUST BUT VERIFY

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