SY
Shuhei J. Yasuki
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
Irvine, CA
Some features on this profile are disabled
CRD#: 6404081
SY
Professional summary
Shuhei Jimmy Yasuki is a registered financial professional currently at PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC located in Irvine, California.
Shuhei is registered as a RR (Registered Representative) and started their career in finance in 2014. Shuhei has worked at 1 firm and has passed the Series 63, SIE, Series 62, Series 79 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Shuhei Jimmy Yasuki'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 13, 2014 - Present
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
BD
CRD#: 41461
Irvine, 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(11/13/2014)
RR
Alaska(11/13/2014)
RR
Arizona(11/13/2014)
RR
Arkansas(11/13/2014)
RR
California(11/13/2014)
RR
Colorado(11/13/2014)
RR
Connecticut(11/13/2014)
RR
Delaware(11/13/2014)
RR
District of Columbia(11/13/2014)
RR
Florida(11/13/2014)
RR
Georgia(11/13/2014)
RR
Hawaii(11/13/2014)
RR
Idaho(11/13/2014)
RR
Illinois(11/13/2014)
RR
Indiana(11/13/2014)
RR
Iowa(11/13/2014)
RR
Kansas(11/13/2014)
RR
Kentucky(11/13/2014)
RR
Louisiana(11/13/2014)
RR
Maine(11/13/2014)
RR
Maryland(11/13/2014)
RR
Massachusetts(11/13/2014)
RR
Michigan(11/13/2014)
RR
Minnesota(11/13/2014)
RR
Mississippi(11/13/2014)
RR
Missouri(11/13/2014)
RR
Montana(11/13/2014)
RR
Nebraska(11/13/2014)
RR
Nevada(11/13/2014)
RR
New Hampshire(11/13/2014)
RR
New Jersey(11/13/2014)
RR
New Mexico(11/13/2014)
RR
New York(11/13/2014)
RR
North Carolina(11/14/2014)
RR
North Dakota(11/13/2014)
RR
Ohio(11/14/2014)
RR
Oklahoma(11/13/2014)
RR
Oregon(11/13/2014)
RR
Pennsylvania(11/13/2014)
RR
Puerto Rico(11/13/2014)
RR
Rhode Island(11/13/2014)
RR
South Carolina(11/13/2014)
RR
South Dakota(11/13/2014)
RR
Tennessee(1/23/2020)
RR
Texas(11/13/2014)
RR
Utah(11/13/2014)
RR
Vermont(11/13/2014)
RR
Virgin Islands(11/13/2014)
RR
Virginia(11/13/2014)
RR
Washington(11/13/2014)
RR
West Virginia(11/13/2014)
RR
Wisconsin(11/13/2014)
RR
Wyoming(11/13/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 4/6/2015
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
COOPERS & LYBRAND SECURITIES L.L.C. | PWC CORPORATE ADVISORY AND RESTRUCTURING LLC | PRICEWATERHOUSECOOPERS SECURITIES LLC | PRICEWATERHOUSECOOPERS SECURITIES L.L.C. | PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC | PRICEWATERHOUSECOOPERS CORPORATE ADVISORY AND RESTRUCTURING LLC | PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
CRD#: 41461 / SEC#: , 8-49443
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1 N. Wacker Drive 6th Floor, Chicago, IL 60606
Mailing Address
1 N. Wacker Drive 6th Floor, Chicago, IL 60606
Phone number
(312) 298-2000
Established
Delaware since 06/25/1996
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PWC US BUSINESS ADVISORY LLP | SHAREHOLDER | |
| BRIDEN, STEPHEN JAMES | ACTING CCO AND POO | 6162493 |
| CHOPOORIAN, RONALD HAIG | MEMBER OF BOARD OF MANAGERS | 7970815 |
| GILL, MAUREEN | MEMBER OF BOARD OF MANAGERS | 7313897 |
| NIEMEYER, MEL JOHN | MEMBER OF BOARD OF MANAGERS | |
| ROONEY, THOMAS M | MEMBER OF BOARD OF MANAGERS | 6931609 |
| SCHASCHWARY, MICHAEL JOSEPH | ACTING FINOP AND PFO | 6001279 |
| WOLFE, HOWARD DEGRAFF III | PRESIDENT | 3049913 |
Disclosures
| Regulatory Event | 1 |
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.
