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Tomonari Yamanaka

Citigroup Global Markets INC.
22 Years of Experience
San Jose, CA
6 DisclosuresBroker
View SEC Summary
View SEC Summary

Tomonari Yamanaka is a registered investment advisor at Citigroup Global Markets INC., based in San Jose, CA, with 22 years of industry experience. Tomonari is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 59,829 clients with $56B in assets under management.

Citigroup Global Markets INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2402 advisors
IM Fee
Planning only
Assets Under Management
$56.0B

Fee Structure

Citigroup Global Markets provides a comprehensive written financial plan at no direct fee to eligible clients of Citi Private Bank and Citi Global Wealth at Work. The service includes developing a financial profile, analyzing current financial position, and providing recommendations for education, retirement, estate planning, and other long-term goals.

One-Time Plan:$0
View Full SEC Brochure

Location

Citi Retail Banking, 2189 Quimby Road, San Jose, CA, 95122

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2014
Settled
Customer Dispute
April 2014
Settled
Employment Separation After Allegations
March 2014
Customer Dispute
September 2012
Closed-No Action
Customer Dispute
July 2009
Settled
Employment Separation After Allegations
September 2008
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Citigroup Global Markets INC.
April 2014 - Present · 12 yrs 6 mos
Citigroup Global Markets INC.
April 2014 - Present · 12 yrs 6 mos
Citigroup Global Markets INC.Broker
April 2014 - Present · 12 yrs 6 mos
Previous Registrations
Eagle Strategies LLC
February 2010 - April 2014 · 4 yrs 2 mos
Nylife Securities LLCBroker
November 2009 - April 2014 · 4 yrs 5 mos
U.S. Bancorp Investments, INC.Broker
January 2009 - August 2009 · 7 mos
U.S. Bancorp Investments, INC.
January 2009 - August 2009 · 7 mos
Wells Fargo Investments, LLC
January 2007 - September 2008 · 1 yr 8 mos
Wells Fargo Investments, LLCBroker
January 2007 - September 2008 · 1 yr 8 mos
Ameriprise Financial Services, INC.
January 2004 - February 2007 · 3 yrs 1 mo
Ameriprise Financial Services, INC.Broker
January 2004 - February 2007 · 3 yrs 1 mo
Ids Life Insurance CompanyBroker
January 2004 - July 2006 · 2 yrs 6 mos
State Registrations14 states
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AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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