Celso H. Yamaguchi
Professional summary
Celso Hiroshi Yamaguchi, who also goes by Celso H Yamaguchi, is a registered financial professional currently at SAFRA SECURITIES LLC located in New York, New York.
Celso is registered as a RR (Registered Representative) and started their career in finance in 2019. Celso has worked at 3 firms and has passed the Series 7TO, Series 79TO, Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Celso Hiroshi Yamaguchi's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 28, 2025 - Present
SAFRA SECURITIES LLC
Office #1: 546 Fifth Ave, New York, NY 10036June 25, 2024 - February 3, 2025
MACQUARIE CAPITAL (USA) INC.
November 22, 2019 - August 2, 2023
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 4/17/2023
General Securities Representative ExaminationSeries 79TO
Date: 7/10/2020
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 11/22/2019
Operations Professional ExaminationFINRA
Current Firm
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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