Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Yamagata is a financial professional with over 20 years of experience in the securities industry. Steven has held various roles at firms including Casey Securities LLC, RFA Securities LLC, New Albion Partners LLC, and Citigroup Global Markets Inc. Steven holds Series 7, 45, 57TO, 99TO, and SIE licenses. Steven is currently registered with Casey Securities LLC.
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.
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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2
CA
04/20/2024 - Present
Casey Securities LLC (Greenbrae CA)
CA
06/01/2012 - 01/02/2024
CASEY SECURITIES LLC (GREENBRAE CA)
PA
11/06/2020 - 07/30/2021
RFA SECURITIES LLC (PHILADELPHIA PA)
NY
10/01/2007 - 01/12/2016
NEW ALBION PARTNERS LLC (NEW YORK NY)
CA
11/13/2006 - 10/01/2007
CASEY SECURITIES, LLC (GREENBRAE CA)
NY
12/09/2004 - 06/14/2006
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IL
05/21/2003 - 12/09/2004
KNIGHT EXECUTION PARTNERS LLC (CHICAGO IL)
BC
Issued 11/09/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/2024
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/2003
Series 7 - General Securities Representative Examination
BC
Issued 03/18/1998
Series 45 - PCX Floor Broker Exam
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
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