Bradley H. Yates
Professional summary
Bradley Hal Yates is a registered financial advisor currently at T. ROWE PRICE ADVISORY SERVICES, INC. located in Sarasota, Florida and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Owings Mills, Maryland.
Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Bradley has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Bradley Hal Yates's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2017 - Present
T. ROWE PRICE ADVISORY SERVICES, INC.
May 22, 2017 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: Four Financial Center 4525 Painters Mill Road, Owings Mills, MD 21117December 11, 2012 - May 23, 2017
RAYMOND JAMES & ASSOCIATES, INC.
April 30, 2012 - December 5, 2012
LCG CAPITAL ADVISORS, LLC
March 20, 2006 - May 6, 2010
T. ROWE PRICE ADVISORY SERVICES, INC.
March 16, 2006 - May 6, 2010
T. ROWE PRICE INVESTMENT SERVICES, INC.
November 3, 2004 - April 29, 2005
WADDELL & REED
September 17, 2004 - April 29, 2005
WADDELL & REED
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,014 |
| AUM (Assets Under Management) | $ 3,861,357,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
