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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lee ann? Claim Your ProfileLee Ann Yates is a financial advisor with Morgan Stanley. Lee Ann has been in the financial services industry since October 1998. She has a wide range of experience in the industry and has worked with clients in various capacities. Lee Ann has worked for several firms, including Citigroup Global Markets Inc., Lehman Brothers Inc., Deutsche Bank Securities Inc., Morgan Stanley DW Inc., CIBC World Markets Corp., and J.C. Bradford & Co. She has also been licensed in multiple states and has a number of professional certifications. Lee Ann Yates provides a variety of financial services to her clients, including asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, portfolio management for individuals, and portfolio management for investment companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
GA
03/19/2020 - Present
Morgan Stanley (Atlanta GA)
NY
01/01/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/27/2004 - 07/06/2004
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/03/2003 - 02/19/2004
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
11/27/2000 - 08/25/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
05/24/2000 - 07/14/2000
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
10/03/1995 - 05/26/2000
J.C. BRADFORD & CO. (NEW YORK NY)
BOTH
Issued 05/23/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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