Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Yates is a financial professional with over 8 years of experience in the industry. Philip is currently registered with Axos Invest LLC and Axos Clearing LLC. Philip has held previous roles with ROBINHOOD FINANCIAL, LLC and CHARLES SCHWAB & CO., INC. Philip holds a Series 7, Series 63, Series 24 and SIE license.
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.
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.
1
2
NE
04/15/2024 - Present
Axos Invest LLC (Omaha NE)
CO
03/22/2021 - 06/30/2023
ROBINHOOD FINANCIAL, LLC (Denver CO)
CO
04/28/2015 - 03/19/2021
CHARLES SCHWAB & CO., INC. (LONE TREE CO)
BC
Issued 05/27/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/14/2023
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2015
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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