John N. 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.
John Nobel Yates, who also goes by John Noble Yates, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1967. John had worked at 4 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2005 - December 31, 2022
YATES FINANCIAL GROUP INC.
March 26, 2003 - December 31, 2006
THE O.N. EQUITY SALES COMPANY
January 1, 1999 - January 9, 2003
NEW ENGLAND SECURITIES
January 3, 1989 - January 9, 2003
NEW ENGLAND SECURITIES
October 16, 1967 - January 9, 1989
LINCOLN FINANCIAL DISTRIBUTORS, 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 1
Date: 9/19/1967
Registered Representative ExaminationCurrent Firm
YATES FINANCIAL GROUP INC.
CRD#: 130554 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 389,304 |
Red Flags
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