Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Yates is a registered representative with ADP Broker-Dealer, Inc. Steven's career in the securities industry began on May 6, 2009. Prior to joining ADP Broker-Dealer, Inc. Steven was affiliated with PNC Investments, Fifth Third Securities, Inc. and Chase Investment Services Corp.. Steven is registered with the Financial Industry Regulatory Authority (FINRA) and holds the following licenses: Series 6, Series 7, Series 63, Series 66 and SIE. Steven Yates has been a licensed broker for 16 years and has a total of 52 state registrations. Steven's registration status with FINRA is Active.
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.
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2
KY
12/16/2014 - Present
ADP Broker-Dealer, Inc. (LOUISVILLE KY)
IN
12/06/2013 - 12/12/2014
PNC INVESTMENTS (FLOYDS KNOBS IN)
KY
05/12/2011 - 12/09/2011
FIFTH THIRD SECURITIES, INC. (LOUISVILLE KY)
KY
04/27/2007 - 04/26/2011
CHASE INVESTMENT SERVICES CORP. (LOUISVILLE KY)
BOTH
Issued 05/03/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/04/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/2009
Series 7 - General Securities Representative Examination
BC
Issued 04/26/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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