YK
Yoko Kawaguchi
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CRD#: 6868762
YK
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Yoko Kawaguchi, who also goes by Yoko K Khan, was a registered financial professional .
Yoko is a previously registered financial professional and started their career in finance in 2017. Yoko had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Yoko K Khan
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.
Name of the other businessJapanese Chamber of Commerce of Southern California Whether the business is investment-relatedNo Address of the other business244 San Pedro #500 Nature of the other businessNPO Your positionmember Title, or relationship with the other businessmember Start date of your relationship01/2022 Approximate number of hours/month you devote to the other business1 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other businessHelp assist Japanese business to local event in Southern California Name of the other businessPioneer Center Whether the business is investment-relatedNo Address of the other business244 San Pedro St #301 Nature of the other businessNPO Your positionAssociate Secretary Title, or relationship with the other businessAssociate Secretary Start date of your relationship07/2019 Approximate number of hours/month you devote to the other business1 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other businessHelp Japanese seniors for cultural event Name of the other businessLittle Tokyo Business Association Whether the business is investment-relatedNo Address of the other business205 1st St #201 Nature of the other businessNPO Your positionVice President Title, or relationship with the other businessVice President Start date of your relationship07/2016 Approximate number of hours/month you devote to the other business1 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other businessHelp Assist small business in Little Tokyo in Los Angeles for cultural event
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
February 17, 2023 - June 24, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PASADENA, CA
Past
February 17, 2023 - June 24, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PASADENA, CA
Past
March 1, 2022 - December 19, 2022
AMERITAS ADVISORY SERVICES, LLC
RIA
CRD#: 317245
LOS ANGELES, CA
Past
March 1, 2022 - December 19, 2022
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LOS ANGELES, CA
Past
April 13, 2021 - January 7, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
LOS ANGELES, CA
Past
December 12, 2017 - January 7, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
LOS ANGELES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/23/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
