linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Barbara Ann Yamanaka

Marex Capital Markets Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Barbara? Claim Your Profile

About Barbara Ann Yamanaka

Barbara Yamanaka is a financial professional with over 30 years of experience in the industry. Barbara is currently registered with Marex Capital Markets Inc., a firm based in San Francisco. Barbara has previously been registered with several other firms including Cowen and Company, Cowen Prime Services LLC, Cowen Prime Services Trading LLC, Merlin Securities, LLC and First Security Van Kasper, Inc. Barbara holds several licenses including Series 63, Series 24, Series 57TO, SIE, Series 55, and Series 7. Barbara is currently registered in California and Massachusetts.

Firm Information

Barbara Yamanaka is currently registered with Marex Capital Markets Inc.. Marex Capital Markets Inc. is a Corporation formed in 1952 and approved for operations in all 50 states, the District of Columbia, and Puerto Rico. The firm has an active SEC registration and has reported 42 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

71

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Barbara Yamanaka’s Registration & Firm History

CA

12/01/2023 - Present

Marex Capital Markets Inc. (SAN FRANCISCO CA)

CA

08/16/2021 - 12/13/2023

COWEN AND COMPANY (San Francisco CA)

CA

01/29/2016 - 01/04/2022

COWEN PRIME SERVICES LLC (SAN FRANCISCO CA)

CA

09/28/2000 - 06/15/2016

COWEN PRIME SERVICES TRADING LLC (San Francisco CA)

CA

01/03/2005 - 09/27/2005

MERLIN SECURITIES, LLC (SAN FRANCISCO CA)

CA

08/16/1999 - 09/29/2000

FIRST SECURITY VAN KASPER, INC. (SAN FRANCISCO CA)

NY

02/23/1999 - 07/27/1999

GERARD KLAUER MATTISON & CO., INC. (NEW YORK NY)

NY

01/08/1993 - 02/18/1999

JWGENESIS CAPITAL MARKETS LLC (NEW YORK NY)

Not sure if Barbara Ann Yamanaka is right for you?

Licenses & Designations

BC

Issued 03/24/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/16/1997

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/01/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/05/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Barbara Ann Yamanaka.
Not sure if Barbara Ann Yamanaka is right for you?