Richard Joseph Yeates
Professional Summary
Richard Joseph Yeates, who also goes by Richard Yeates, is a registered financial advisor currently at APA SECURITIES, LLC located in Englewood Cliffs, New Jersey. Richard is registered as a RR (Registered Representative) and started their career in finance in 2011. Richard has worked at 1 firm and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Yeates
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
APA SECURITIES, LLC | UPRR SECURITIES, LLC | SHAREHOLDER SOLUTIONS (ACS), LLC | KEANE FINANCIAL, LLC
Contact Information
Main Address
920 Sylvan Avenue, Suite 240, Englewood Cliffs, NJ 07632Mailing Address
920 Sylvan Avenue, Suite 240, Englewood Cliffs, NJ 07632Phone Number
(212) 971-3333Established
Delaware since 07/30/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Joseph Yeates's CRS (Customer Relationship Summary).
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