EY
Elizabeth A. Yates
THOMA BRAVO CAPITAL MARKETS
San Francisco, CA 94105-1420
Some features on this profile are disabled
CRD#: 5358599
EY
Professional summary
Elizabeth Ann Yates, who also goes by Liz Yates, is a registered financial professional currently at THOMA BRAVO CAPITAL MARKETS, LLC located in San Francisco, California.
Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2010. Elizabeth has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Liz 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 Elizabeth Ann 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
July 23, 2021 - Present
THOMA BRAVO CAPITAL MARKETS, LLC
Office #1: One Market Plaza Spear Tower, Suite 2400, San Francisco, CA 94105-1420BD
CRD#: 311317
San Francisco, CA
Past
October 19, 2010 - March 2, 2015
PARK HILL GROUP LLC
BD
CRD#: 135898
NEW YORK, NY
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(10/19/2021)
RR
Alaska(10/19/2021)
RR
Arizona(10/20/2021)
RR
Arkansas(10/12/2021)
RR
California(9/30/2021)
RR
Colorado(9/30/2021)
RR
Connecticut(10/26/2021)
RR
Delaware(10/25/2021)
RR
District of Columbia(9/29/2021)
RR
Florida(11/9/2021)
RR
Georgia(8/19/2021)
RR
Hawaii(10/1/2021)
RR
Idaho(9/30/2021)
RR
Illinois(9/29/2021)
RR
Indiana(11/18/2021)
RR
Iowa(8/19/2021)
RR
Kansas(9/29/2021)
RR
Kentucky(10/18/2021)
RR
Louisiana(10/18/2021)
RR
Maine(9/30/2021)
RR
Maryland(8/27/2021)
RR
Massachusetts(8/18/2021)
RR
Michigan(7/23/2021)
RR
Minnesota(11/22/2021)
RR
Mississippi(9/30/2021)
RR
Missouri(10/12/2021)
RR
Montana(8/9/2021)
RR
Nebraska(9/2/2021)
RR
Nevada(10/18/2021)
RR
New Hampshire(10/15/2021)
RR
New Jersey(10/5/2021)
RR
New Mexico(10/5/2021)
RR
New York(10/16/2021)
RR
North Carolina(10/13/2021)
RR
North Dakota(10/15/2021)
RR
Ohio(7/26/2021)
RR
Oklahoma(9/29/2021)
RR
Oregon(10/11/2021)
RR
Pennsylvania(9/30/2021)
RR
Puerto Rico(9/29/2021)
RR
Rhode Island(8/11/2021)
RR
South Carolina(10/21/2021)
RR
South Dakota(7/23/2021)
RR
Tennessee(10/18/2021)
RR
Texas(10/8/2021)
RR
Utah(7/28/2021)
RR
Vermont(10/4/2021)
RR
Virgin Islands(11/8/2021)
RR
Virginia(10/15/2021)
RR
Washington(10/20/2021)
RR
West Virginia(11/3/2021)
RR
Wisconsin(9/29/2021)
RR
Wyoming(10/20/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/15/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TB
THOMA BRAVO CAPITAL MARKETS, LLC
THOMA BRAVO CAPITAL MARKETS, LLC
CRD#: 311317 / SEC#: , 8-70612
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511
Mailing Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511
Phone number
(312) 254-3300
Established
Delaware since 09/21/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMA BRAVO ADVISERS, L.P. | MEMBER | |
| ALPER, JENNIFER JAMES | PRINCIPAL, INVESTOR RELATIONS & MARKETING | 7309562 |
| KRZAK, ALEXANDER JACOB | PRINCIAL OPERATIONS OFFICER | 6349160 |
| MOCK, ERWIN HECTOR | PRINCIPAL, HEAD OF CAPITAL MARKETS | 4236454 |
| PORTNOFF, DAVID ROSS | FIN OP, PRINCIPAL FINANCIAL OFFICER | 2977967 |
| SCHWAB, STEVEN ANTHONY | SENIOR DIRECTOR, DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 4589027 |
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.
