Raymond K. Yeates
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.
Raymond Kenneth Yeates jr, who also goes by Ray Yeates, Raymond Kenneth Yeates Jr, Raymond Kenneth Yeates, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1988. Raymond had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2017 - September 28, 2017
EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.
May 31, 2016 - September 28, 2017
FBL MARKETING SERVICES, LLC
October 31, 2012 - April 14, 2016
VALIC FINANCIAL ADVISORS, INC.
October 10, 2012 - April 14, 2016
VALIC FINANCIAL ADVISORS, INC.
April 21, 2011 - February 14, 2012
STATE FARM VP MANAGEMENT CORP.
September 15, 2006 - July 9, 2010
ALLSTATE FINANCIAL SERVICES, LLC
April 17, 2006 - September 11, 2006
CREWS & ASSOCIATES, INC.
July 29, 2004 - April 7, 2006
RAYMOND JAMES & ASSOCIATES, INC.
July 8, 2004 - April 7, 2006
RAYMOND JAMES & ASSOCIATES, INC.
April 3, 1996 - November 14, 2003
HORNOR, TOWNSEND & KENT, LLC
April 3, 1996 - November 14, 2003
HORNOR, TOWNSEND & KENT, LLC
January 4, 1990 - April 3, 1996
GUARDIAN INVESTOR SERVICES LLC
October 13, 1988 - December 20, 1989
NEW ENGLAND SECURITIES
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
EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.
CRD#: 5308 / SEC#: 801-7655, 8-15854
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FBL FINANCIAL SERVICES, INC. | OWNER | |
| BRANNEN, JAMES PATRICK | CFO & DIRECTOR | 2746986 |
| COOMBS, SUSAN MARIE | MUTUAL FUND ACCOUNTING DIRECTOR | 3181559 |
| MARKER, DENNIS MICHAEL | PRESIDENT & DIRECTOR | 872474 |
| MORAIN, STEPHEN M | SENIOR VP, GENERAL COUNSEL & DIRECTOR | 1033225 |
| NOYCE, JAMES WILLIAM | VICE PRESIDENT, TREASURER & DIRECTOR | 2152118 |
| ODDY, WILLIAM JOSEPH | CEO & DIRECTOR | 350982 |
| PAULE, JOHN M | CMO & DIRECTOR | 3000719 |
| ROJOHN, KRISTI | INVESTMENT COMPLIANCE VP, SECY | 1700348 |
| RUMELHART, JOANN WESLIE | EXECUTIVE VP & DIRECTOR | 2145908 |
| SANDBURG, LOUANN GERHARD | VP - INVESTMENTS, ASST TREAS & DIRECTOR | 727918 |
| WILSON, LYNN ELDEN | VP & DIRECTOR | 2636153 |
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.
