SY
Steven D. Yates
ADP BROKER-DEALER
Louisville, KY 40299
Some features on this profile are disabled
CRD#: 5319508
SY
Professional summary
Steven Duane Yates, who also goes by Steve Duane Yates, Steven D Yates, is a registered financial professional currently at ADP BROKER-DEALER, INC. located in Louisville, Kentucky.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2007. Steven has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Duane Yates | Steven D Yates
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Steven Duane Yates's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 16, 2014 - Present
ADP BROKER-DEALER, INC.
Office #1: 11405 Bluegrass Parkway, Louisville, KY 40299BD
CRD#: 37693
Louisville, KY
Past
December 6, 2013 - December 12, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
FLOYDS KNOBS, IN
Past
December 2, 2013 - December 12, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
FLOYDS KNOBS, IN
Past
May 12, 2011 - December 9, 2011
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
LOUISVILLE, KY
Past
May 12, 2011 - December 9, 2011
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
LOUISVILLE, KY
Past
May 5, 2010 - April 26, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
LOUISVILLE, KY
Past
April 27, 2007 - April 26, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
LOUISVILLE, KY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/23/2016)
RR
Alaska(2/23/2016)
RR
Arizona(2/23/2016)
RR
Arkansas(2/23/2016)
RR
California(2/23/2016)
RR
Colorado(2/23/2016)
RR
Connecticut(2/23/2016)
RR
Delaware(2/23/2016)
RR
District of Columbia(2/23/2016)
RR
Florida(2/23/2016)
RR
Georgia(2/23/2016)
RR
Hawaii(2/23/2016)
RR
Idaho(2/23/2016)
RR
Illinois(2/23/2016)
RR
Indiana(2/23/2016)
RR
Iowa(2/23/2016)
RR
Kansas(2/23/2016)
RR
Kentucky(12/16/2014)
RR
Louisiana(2/23/2016)
RR
Maine(2/23/2016)
RR
Maryland(2/23/2016)
RR
Massachusetts(2/23/2016)
RR
Michigan(2/23/2016)
RR
Minnesota(2/23/2016)
RR
Mississippi(2/23/2016)
RR
Missouri(2/23/2016)
RR
Montana(2/23/2016)
RR
Nebraska(2/23/2016)
RR
Nevada(2/23/2016)
RR
New Hampshire(2/23/2016)
RR
New Jersey(2/23/2016)
RR
New Mexico(2/23/2016)
RR
New York(2/23/2016)
RR
North Carolina(2/23/2016)
RR
North Dakota(2/23/2016)
RR
Ohio(2/23/2016)
RR
Oklahoma(2/23/2016)
RR
Oregon(2/23/2016)
RR
Pennsylvania(2/23/2016)
RR
Rhode Island(2/23/2016)
RR
South Carolina(2/23/2016)
RR
South Dakota(2/23/2016)
RR
Tennessee(2/23/2016)
RR
Texas(2/23/2016)
RR
Utah(2/23/2016)
RR
Vermont(2/23/2016)
RR
Virgin Islands(5/3/2024)
RR
Virginia(2/23/2016)
RR
Washington(2/23/2016)
RR
West Virginia(2/23/2016)
RR
Wisconsin(2/23/2016)
RR
Wyoming(2/23/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AB
ADP BROKER-DEALER, INC.
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Adp Boulevard, Roseland, NJ 07068-1786
Mailing Address
71 Hanover Road Ms - 580, Florham Park, NJ 07932
Phone number
(973) 712-2316
Established
New Jersey since 07/12/1994
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
Company Information
ADP BROKER-DEALER, INC.
CRD#: 37693Louisville, KY 40299TRUST BUT VERIFY
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