Jennifer R. 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.
Jennifer Ruth Yates, who also goes by Jennifer Barrows, Jennifer R Paternoster, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2009. Jennifer had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2012 - July 5, 2012
DEWAAY FINANCIAL NETWORK, LLC
February 22, 2012 - October 28, 2013
WFG INVESTMENTS, INC.
May 20, 2009 - February 13, 2012
DEWAAY FINANCIAL NETWORK, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DEWAAY FINANCIAL NETWORK, LLC
CRD#: 30767 / SEC#: , 8-45342
Contact information
Documents
Disclosures
| Arbitration | 5 |
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.
