BY
Brian L. Yates
PITTSBURGH FINANCIAL PLANNERS
Bridgeville, PA 15017
Some features on this profile are disabled
CRD#: 2386154
BY
Professional summary
Brian Lewis Yates, CFP® is a registered financial advisor currently at PITTSBURGH FINANCIAL PLANNERS, INC. located in Bridgeville, Pennsylvania.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Brian has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 55, Series 7 and Series 11 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
A MINORITY PARTICIPATING MEMBER IN AN LLC CALLED TRIPLE THREAT LACROSSE LOCATED AT 2408 MILL GROVE ROAD, PITTSBURGH, PA 15241. THIS LLC WAS ESTABLISHED TO PROVIDE PLAYING OPPORTUNITIES FOR LACROSSE PLAYERS. I EXPECT THIS COMMITMENT TO BE LESS THAN 10 HOURS PER MONTH COACHING AND CONSULTING, AND WILL BE PERFORMED OUTSIDE OF NORMAL SECURITIES TRADING HOURS. BYATES ENTERPRISES, LLC MANAGING MEMBER TO PROVIDE SERVICES TO PITTSBURGH FINANCIAL PLANNERS, INC AND TO CONDUCT OTHER BUSINESS CONSULTING ACTIVITIES. THIS ENTITY MAY ENGAGE IN OTHER BUSINESS ACTIVITY UNRELATED TO PITTSBURGH FINANCIAL PLANNERS, INC. SINCE 07/18/2023 IRON CITY LACROSSE CLUB TRAVEL LACROSSE CLUB COACH SINCE 09/2023 NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Brian Lewis Yates's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2009
Experience
Current
May 27, 2016 - Present
PITTSBURGH FINANCIAL PLANNERS, INC.
Office #1: 1195 Washington Pike Suite 100, Bridgeville, PA 15017RIA
CRD#: 14155
Bridgeville, PA
Past
November 16, 2009 - May 26, 2016
MUHLENKAMP & CO INC
RIA
CRD#: 110787
WEXFORD, PA
Past
March 30, 2005 - April 29, 2016
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
August 2, 2004 - February 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PITTSBURGH, PA
Past
July 29, 2004 - February 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 1, 1996 - January 30, 2004
SCHONFELD SECURITIES, LLC
BD
CRD#: 23304
JERICHO, NY
Past
August 19, 1993 - May 11, 1995
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PF
PITTSBURGH FINANCIAL PLANNERS, INC.
PITTSBURGH FINANCIAL PLANNERS, INC.
CRD#: 14155 / SEC#: 801-123722, 8-30451
RIA
Registered Investment Advisory firm - SEC (4/15/2022 Approved)Florida
Registered Investment Advisory firm - SEC (12/11/2015 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/19/2022 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/7/2020 Terminated)North Carolina
Registered Investment Advisory firm - SEC (9/3/2019 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/18/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (4/18/2022 Terminated)BD
Terminated by SEC on 07/31/2011
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Pennsylvania(5/27/2016)
IAR
Texas(11/2/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/19/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 11
Date: 8/18/1993
Assistant Representative-Order Processing Qualification ExamCurrent Firm
PF
PITTSBURGH FINANCIAL PLANNERS, INC.
PITTSBURGH FINANCIAL PLANNERS, INC.
CRD#: 14155 / SEC#: 801-123722, 8-30451
RIA
Registered Investment Advisory firm - SEC (4/15/2022 Approved)Florida
Registered Investment Advisory firm - SEC (12/11/2015 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/19/2022 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/7/2020 Terminated)North Carolina
Registered Investment Advisory firm - SEC (9/3/2019 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/18/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (4/18/2022 Terminated)BD
Terminated by SEC on 07/31/2011
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Contact information
Main Address
1195 Washington Pike Suite 100, Bridgeville, PA 15017
Mailing Address
Phone number
(412) 220-1690
Established
Pennsylvania since 07/14/1983
Firm type
Corporation
Fiscal year end
June
# of Employees
6
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 500 |
| AUM (Assets Under Management) | $ 160,622,430 |
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.
