Brandon B. 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.
Brandon Bruce Yates, who also goes by Brandon Yates, was a registered financial professional .
Brandon is a previously registered financial professional and started their career in finance in 2004. Brandon had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2013 - January 16, 2015
FISHER INVESTMENTS
March 12, 2013 - March 22, 2013
HARRISDIRECT LLC
February 28, 2013 - March 22, 2013
E*TRADE SECURITIES LLC
January 7, 2013 - February 25, 2013
STRATEGIC ADVISERS LLC
March 5, 2007 - February 22, 2013
FIDELITY BROKERAGE SERVICES LLC
June 18, 2004 - October 10, 2006
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
