David Yates

PODELL FINANCIAL GROUP LLC

Fairfield, NJ 07004

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CRD#: 2645267

Professional summary

David Yates, who also goes by David Ira Yates, is a registered financial advisor currently at PODELL FINANCIAL GROUP LLC located in Fairfield, New Jersey.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. David has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Ira Yates

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.

Independent Insurance Agent; Investment Related; Fairfield, NJ; Insurance Sales; Agent; start 03/2020; ; 40 hours per month, 40 hours during securities trading hours; insurance related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Yates's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 24, 2023 - Present

PODELL FINANCIAL GROUP LLC

Office #1: 271 Route 46w Suite D105, Fairfield, NJ 07004

RIA

CRD#: 325383

Fairfield, NJ

Past

July 19, 2021 - June 14, 2023

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

FAIRFIELD, NJ

Past

June 25, 2021 - June 14, 2023

NYLIFE SECURITIES LLC

CRD#: 5167

FAIRFIELD, NJ

Past

July 12, 2019 - March 2, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

BRICK, NJ

Past

June 14, 2019 - March 2, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

BRICK, NJ

Past

September 18, 2009 - March 4, 2019

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

WALL, NJ

Past

October 11, 2004 - May 13, 2009

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

PARSIPPANY, NJ

Past

December 6, 2000 - March 4, 2019

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

June 13, 2000 - September 26, 2000

DPEC CAPITAL, INC.

CRD#: 103737

NEW YORK, NY

Past

June 9, 1999 - June 20, 2000

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

April 24, 1996 - December 11, 1996

THE BOSTON GROUP

CRD#: 37652

LOS ANGELES, CA

Past

August 16, 1995 - May 2, 1996

A.S. GOLDMEN & CO., INC.

CRD#: 23180

RED BANK, NJ

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".

PODELL FINANCIAL GROUP LLC

CRD#: 325383 / SEC#: 801-127920

RIA

Registered Investment Advisory firm - (5/4/2023 Approved)

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

New Jersey
(5/24/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/8/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/2/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/8/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PODELL FINANCIAL GROUP LLC

CRD#: 325383 / SEC#: 801-127920

RIA

Registered Investment Advisory firm - (5/4/2023 Approved)

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Contact information

Main Address

271 Route 46w Suite D105, Fairfield, NJ 07004

Mailing Address

Phone number

(973) 227-8001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFG ADV PART 2A (1/28/2025)

Regulatory assets under management

Total Number of Accounts	490
AUM (Assets Under Management)	$ 172,200,000

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.

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Advisor Monitoring

Firm Stability Insights

David Yates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Yates's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EAGLE STRATEGIES LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

DPEC CAPITAL, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

THE BOSTON GROUP

A.S. GOLDMEN & CO., INC.

Primary Firm SEC Registration

PODELL FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/2004

Series 63

Date: 8/31/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/2/2000

Series 6

Date: 6/8/1999

Current Firm

PODELL FINANCIAL GROUP LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PODELL FINANCIAL GROUP LLC

TRUST BUT VERIFY

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