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Victor Joseph Yates

Nationwide Investment Services Corp.

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About Victor Joseph Yates

Victor Yates is a financial professional with over 13 years of experience in the industry. Victor is currently registered with Nationwide Investment Services Corp. and has previously worked with M.S. Howell & Co., Saybrus Equity Services, LLC, MML Investors Services, LLC, and NYLIFE Securities LLC. Victor holds the Series 6, Series 63, and Series 65 licenses as well as the SIE exam. Victor is registered in 16 states, including Connecticut, Delaware, District of Columbia, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Vermont, Virginia, and West Virginia.

Firm Information

Victor Yates is currently registered with Nationwide Investment Services Corp.. Nationwide Investment Services Corp. is a corporation formed in 1974 and is approved to operate in all 50 states, the District of Columbia, and Puerto Rico. The firm is registered with the SEC and has a history of 4 disclosures related to regulatory events and 1 related to arbitration.

Not reported

Assets Under Management

Not reported

Total Clients

1,204

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Victor Yates’s Registration & Firm History

OH

02/01/2024 - Present

Nationwide Investment Services Corp. (COLUMBUS OH)

AZ

03/02/2022 - 02/12/2024

M. S. HOWELLS & CO. (SCOTTSDALE AZ)

CT

03/23/2017 - 02/08/2022

SAYBRUS EQUITY SERVICES, LLC (HARTFORD CT)

AZ

12/03/2015 - 03/22/2017

MML INVESTORS SERVICES, LLC (SCOTTSDALE AZ)

AZ

10/20/2010 - 11/23/2015

NYLIFE SECURITIES LLC (SCOTTSDALE AZ)

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Licenses & Designations

IA

Issued 05/14/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/19/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/18/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Victor Joseph Yates.
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