Stacie L. 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.
Stacie Lorraine Yates, who also goes by Stacie Church, was a registered financial professional .
Stacie is a previously registered financial professional and started their career in finance in 2008. Stacie had worked at 5 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2020 - November 29, 2023
DELAWARE DISTRIBUTORS, L.P.
October 13, 2018 - September 18, 2020
ALPHAMAX DISTRIBUTORS, L.L.C.
July 10, 2017 - September 28, 2018
ARTIVEST BROKERAGE LLC
March 8, 2011 - June 30, 2016
UBS FINANCIAL SERVICES INC.
September 27, 2010 - June 30, 2016
UBS FINANCIAL SERVICES INC.
November 12, 2008 - September 24, 2010
PROCTOR INVESTMENT DISTRIBUTORS, LLC
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 79TO
Date: 4/30/2024
Investment Banking Registered Representative ExaminationCurrent Firm
DELAWARE DISTRIBUTORS, L.P.
CRD#: 14232 / SEC#: , 8-29755
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP") | LIMITED PARTNER OF APPLICANT | |
| IVY DISTRIBUTORS, INC. | LIMITED PARTNER OF APPLICANT | |
| CONNOR, DAVID FORRESTER | DIRECTOR | 4243088 |
| DELAWARE CAPITAL MANAGEMENT, A SERIES OF MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM") | LIMITED PARTNER OF APPLICANT | |
| DELAWARE DISTRIBUTORS, INC. ("DDI") | GENERAL PARTNER OF APPLICANT | |
| GARVEY, THOMAS F | CHIEF COMPLIANCE OFFICER | 2845051 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | FINOP | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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