Chris Yamaguchi

General Counsel

Christopher is the General Counsel for DriveWealth. In this role, he is principally responsible for managing the legal affairs of the firm, providing strategic advice to executive and senior management, providing consultative advice on the securities laws, SEC, and FINRA rules, and drafting and negotiating firm agreements. Christopher works collaboratively with other DriveWealth departments to help manage the operational risk of the firm and to implement broader organizational goals.

At FINRA, Christopher was an Associate Principal Examiner and led teams that were responsible for executing complex investigations of financial crime/fraud, operational, and sales practice-related risks at a variety of high-impact and global financial institutions. He was also a member of the regional specialist and mentor program, where he developed and administered training programs to district staff on risk-based examination and effective writing techniques.

Christopher earned a Bachelor’s Degree, cum laude, in Economics and Classics from Bucknell University. He was elected to the Mortar Board National Honor Society, and also received a J.D. from Seton Hall University School of Law, and is admitted to the bar in New York and New Jersey.