Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Yates is a financial advisor with over 30 years of experience in the financial services industry. He is registered with Morgan Stanley and has held prior registrations with several other firms, including Vision Investment Services, Inc., Northern Trust Securities, Inc., UBS Financial Services Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Stephen is licensed to provide investment advice in multiple states and holds several industry certifications, including the Series 3, 7, 31, 63, and 65 licenses. Stephen Yates and Morgan Stanley offer a wide range of financial services, including investment management, financial planning, and retirement planning.
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
IL
09/02/2022 - Present
Morgan Stanley (Lake Forest IL)
IL
11/04/2004 - 01/28/2010
VISION INVESTMENT SERVICES, INC. (LAKE FOREST IL)
IL
07/28/2004 - 01/11/2010
NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)
NJ
05/10/1996 - 08/23/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
04/22/1992 - 05/14/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 01/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/27/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 04/20/1992
Series 7 - General Securities Representative Examination
BC
Issued 10/12/1991
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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