Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sandra? Claim Your ProfileSandra Yates is a registered representative with Raymond James & Associates, Inc., a firm with a strong reputation in the financial services industry. Sandra has a long and varied career in financial services, having worked with firms such as J.P. Morgan Securities LLC, Scottrade, Inc., and Charles Schwab & Co., Inc. Sandra is active in the New Jersey financial community and is dedicated to helping clients meet their financial goals. She is a licensed Series 7 and Series 66 registered representative and holds the SIE designation.
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
NJ
02/28/2019 - Present
Raymond James & Associates, Inc. (BEDMINSTER NJ)
NJ
09/06/2018 - 12/18/2018
J.P. MORGAN SECURITIES LLC (BEDMINSTER NJ)
NJ
05/21/2008 - 03/08/2018
SCOTTRADE, INC. (BRIDGEWATER NJ)
NJ
08/08/2002 - 05/02/2008
CUSO FINANCIAL SERVICES, L.P. (BRIDGEWATER NJ)
TX
11/30/1999 - 08/21/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
08/30/1999 - 10/04/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 06/27/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/03/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1999
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
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