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KAY AIKO YAMADA
CRD#: 1237370
IA
B
MORGAN STANLEYCRD#: 149777 609 Deep Valley Drive
Suite 400
Rolling Hills Estates, CA 90274
Suite 400
Rolling Hills Estates, CA 90274
0
Disclosures
38
Years of Experience
View By:
State Registrations
B
Arizona 6/1/2009
B
New Jersey 1/14/2016
B
California 6/1/2009
B
New Mexico 6/1/2009
IA
California 6/1/2009
B
New York 6/1/2009
B
Colorado 5/1/2013
B
Oklahoma 2/27/2020
B
Connecticut 6/1/2009
B
Oregon 10/28/2014
B
Delaware 1/6/2025
B
South Carolina 1/14/2016
B
District of Columbia 11/3/2021
B
Texas 1/14/2016
B
Florida 6/1/2009
IA
Texas 3/11/2020
B
Hawaii 6/1/2009
B
Utah 1/14/2016
B
Illinois 6/1/2009
B
Virginia 9/19/2014
B
Kentucky 6/1/2009
B
Washington 6/1/2009
B
Massachusetts 1/14/2016
B
Wisconsin 12/19/2018
B
Michigan 1/4/2017
B
Wyoming 12/22/2021
B
Nevada 6/1/2009
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/17/2005 - 06/01/2009 | LOS ANGELES, CA | |
B | 08/17/2005 - 06/01/2009 | LOS ANGELES, CA | |
IA | 10/15/2003 - 08/29/2005 | TORRANCE, CA | |
B | 11/09/1998 - 08/29/2005 | PURCHASE, NY | |
IA | 11/04/2002 - 12/31/2002 | TORRANCE, CA | |
B | 09/25/1987 - 11/10/1998 | NEW YORK, NY | |
B | 06/10/1987 - 08/15/1987 | ||
B | 02/23/1984 - 05/21/1985 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.