Benjamin A. 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.
Benjamin Andrew Yates, who also goes by Ben A. Yates, Ben Yates, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2000. Benjamin had worked at 7 firms and has passed the Series 66, SIE 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
May 29, 2020 - November 10, 2021
BANKERS LIFE ADVISORY SERVICES, INC.
May 15, 2020 - November 10, 2021
BANKERS LIFE SECURITIES, INC.
October 1, 2012 - December 17, 2019
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 17, 2019
J.P. MORGAN SECURITIES LLC
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 23, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 9, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
May 12, 2000 - August 10, 2004
IDS LIFE INSURANCE COMPANY
May 12, 2000 - August 10, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
April 12, 2000 - August 10, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
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
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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