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YG

Yash Gupta

HEADLANDS TECHNOLOGIES SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 7997260
YG

Professional summary

Yash Gupta is a registered financial professional currently at HEADLANDS TECHNOLOGIES SECURITIES, LLC located in Chicago, Illinois.

Yash is registered as a RR (Registered Representative) and started their career in finance in 2025. Yash has worked at 1 firm and has passed the Series 57TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Yash Gupta'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

October 2, 2025 - Present

HEADLANDS TECHNOLOGIES SECURITIES, LLC

Office #1: 110 N. Wacker Drive 54th Floor, Chicago, IL 60606Office #2: 110 N. Wacker Drive 54th Floor, Chicago, IL 60606
BD
CRD#: 288960
Chicago, IL

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

General Industry/Product Exam
RR
Series 57TO
Date: 10/2/2025
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 11/22/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Texas, Inc.

Current Firm

HT
HEADLANDS TECHNOLOGIES SECURITIES, LLC
HEADLANDS TECHNOLOGIES SECURITIES, LLC

CRD#: 288960 / SEC#: , 8-69969

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
110 N. Wacker Drive 54th Floor, Chicago, IL 60606
Mailing Address
110 N. Wacker Drive 54th Floor, Chicago, IL 60606
Phone number
(312) 601-8774
Established
Delaware since 05/08/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HEADLANDS TECH HOLDINGS, LLCHOLDING COMPANY
ANDRESEN, MATTHEW FREDERICKCEO2524246
LONG, ADAM DONALDCCO5411438
MUNROE, NICHOLAS STUARTCOO5899002
VANDER LAAN, JOHN CHARLESCFO/PFO/FINOP6591178

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.

Company Information

HEADLANDS TECHNOLOGIES SECURITIES, LLC

CRD#: 288960Chicago, IL 60606

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