Victoria E. Yates
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Victoria Elizabeth Yates, who also goes by VIctoria Elizabeth Schrock, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1982. Victoria had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 1985 - February 4, 1989
MALONE & ASSOCIATES, INC.
February 20, 1985 - July 9, 1985
R.B. MARICH, INC.
August 10, 1984 - February 19, 1985
NIELSON AND CLARK INC.
August 29, 1983 - August 20, 1986
WALFORD, DEMARET & CO., INC.
July 22, 1982 - August 22, 1983
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MALONE & ASSOCIATES, INC.
CRD#: 10412 / SEC#: , 8-27337
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
