James K. 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.
James Kaiper Yates was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 5 firms and has passed the Series 66 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
March 12, 2008 - December 31, 2008
SYNERGY INVESTMENT GROUP, LLC
September 15, 2006 - December 31, 2007
TCA FINANCIAL GROUP, LLC
July 21, 2006 - July 20, 2016
TRAVERSE WEALTH
October 20, 2005 - September 21, 2006
NEWCOMB AND COMPANY
November 23, 2004 - October 14, 2005
LEGG MASON WOOD WALKER, INCORPORATED
October 11, 2004 - October 14, 2005
LEGG MASON WOOD WALKER, INCORPORATED
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
SYNERGY INVESTMENT GROUP, LLC
CRD#: 46035 / SEC#: 801-68315, 8-51278
Contact information
Regulatory assets under management
| Total Number of Accounts | 324 |
| AUM (Assets Under Management) | $ 53,106,235 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
