Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Yates is an Investment Advisor Representative at Raymond James & Associates, Inc. based in LOUISVILLE, KY. Patrick has been in the financial industry since 1986 and has experience working with a variety of clients, including individuals, corporations, and institutions. Patrick has a strong understanding of investment strategies and can help clients develop a plan that meets their individual needs. Patrick has passed several securities exams including Series 3, Series 6, Series 7, and Series 9. Patrick has also been registered with a number of other firms, including UBS Financial Services Inc. and Morgan Stanley DW Inc.
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
03/01/2002 - 09/26/2014
UBS FINANCIAL SERVICES INC. (LOUISVILLE KY)
NY
06/12/1991 - 03/06/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
OR
03/15/1990 - 12/07/1990
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
OH
08/21/1986 - 03/07/1990
THE OHIO COMPANY (CINCINNATI OH)
NA
12/20/1985 - 06/18/1986
PRUCO SECURITIES CORPORATION
IA
Issued 06/29/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/31/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/28/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/1993
Series 3 - National Commodity Futures Examination
BC
Issued 08/16/1986
Series 7 - General Securities Representative Examination
BC
Issued 12/19/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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