Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carole? Claim Your ProfileCarole Yates is an investment advisor representative at Raymond James & Associates, Inc. with over 22 years of experience in the financial services industry. Carole has been with Raymond James & Associates, Inc. since 2014. Prior to that, Carole worked at UBS FINANCIAL SERVICES INC.. Carole has a Series 66, SIE and Series 7 license. Carole specializes in helping individuals, high net worth individuals, businesses, corporations, insurance companies, banking or thrift institutions, pension and profit sharing plans, charitable organizations and state or municipal government entities with their financial needs.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
KY
09/18/2014 - Present
Raymond James & Associates, Inc. (LOUISVILLE KY)
KY
05/31/2002 - 09/26/2014
UBS FINANCIAL SERVICES INC. (LOUISVILLE KY)
BOTH
Issued 06/15/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Carole Yates is the right advisor for you? Invested Better is here to help.
