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Risa Yamada

SG Americas Securities, LLC

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About Risa Yamada

Risa Yamada is a securities professional with over three years of experience in the financial industry. Risa is currently registered with SG Americas Securities, LLC, and has held previous positions at Nomura Securities International, Inc. Risa's professional qualifications include passing the Series 7TO, Series 57TO, Series 63, and SIE exams. Risa is registered to conduct business in all 50 states and the District of Columbia.

Firm Information

Risa Yamada is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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.

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Risa Yamada’s Registration & Firm History

NY

07/30/2024 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

02/17/2021 - 07/26/2024

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/08/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/21/2022

Series 57TO - Securities Trader Exam

BC

Issued 02/17/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/16/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Risa Yamada.
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