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 financial advisor with Wells Fargo Securities, LLC. Steven has over 24 years of experience in the financial services industry. Steven is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, 9, 10, 24, 63, 79TO, 99TO, and SIE licenses. Steven is also registered with the state of Georgia.
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.
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2
GA
08/02/2010 - Present
Wells Fargo Securities, LLC (ATLANTA GA)
GA
04/01/2010 - 08/18/2010
COMPASS POINT RESEARCH & TRADING, LLC (DULUTH GA)
GA
12/15/2008 - 03/26/2010
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (ATLANTA GA)
GA
06/24/2004 - 12/10/2007
SUNTRUST INVESTMENT SERVICES, INC. (ATLANTA GA)
TN
02/19/2002 - 09/25/2002
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NC
04/01/1999 - 03/05/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
06/01/1998 - 04/01/1999
WACHOVIA CAPITAL MARKETS, INC. (WINSTON SALEM NC)
NC
04/04/1997 - 06/01/1998
WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)
NC
09/08/1993 - 12/31/1994
WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)
BC
Issued 06/16/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/20/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/20/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/14/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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