William T. 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.
William Thomas Yates, who also goes by Bill Yates, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 12 firms and has passed the Series 99TO, SIE, Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2017 - September 10, 2018
SCOTTRADE, INC.
June 15, 2009 - October 1, 2010
BELLEVUE CHICAGO, LLC
April 27, 2006 - April 20, 2021
TD AMERITRADE CLEARING, INC.
April 22, 2006 - April 20, 2021
TD AMERITRADE, INC.
January 12, 2004 - July 23, 2004
AMERITRADE NORTHWEST, INC.
September 5, 2002 - August 18, 2003
ICAPITAL MARKETS LLC
September 5, 2002 - June 22, 2004
ICLEARING LLC
June 19, 2001 - October 26, 2001
PFN FINANCIAL, L.L.C
February 23, 2001 - April 16, 2001
PFN FINANCIAL, L.L.C
December 21, 2000 - January 2, 2003
AMERITRADE INSTITUTIONAL SERVICES, INC.
December 19, 2000 - November 11, 2002
ACCUTRADE INC.
March 27, 2000 - June 29, 2000
AMERITRADE INSTITUTIONAL SERVICES, INC.
March 23, 2000 - June 14, 2000
ACCUTRADE INC.
December 9, 1999 - February 28, 2000
J.P. SECURITIES, INC.
December 9, 1999 - November 8, 2002
FREETRADE.COM, INC.
October 3, 1996 - April 22, 2006
TD AMERITRADE CLEARING, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
