JY
Joseph T. Yates
COPPER FINANCIAL
Kansas City, MO 64154
Some features on this profile are disabled
CRD#: 6281759
JY
Professional summary
Joseph T Yates, who also goes by Joe Yates, Joseph T Yates, is a registered financial advisor currently at COPPER FINANCIAL located in Kansas City, Missouri.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Joseph has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Yates | Joseph T 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.
Platte County Rugby Club; Not investment-related; 12945 Bayberry St, Platte City, MO 64079; Youth rugby club; Treasurer and Coach; March 2024; 3 hrs; 0 hrs; Coaching and treasury duties.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph T Yates's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph T 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
April 3, 2023 - Present
COPPER FINANCIAL
Office #1: 9060 Nw Skyview Avenue, Kansas City, MO 64154RIA
BD
CRD#: 168203
Kansas City, MO
Current
January 1, 2023 - Present
COPPER FINANCIAL
Office #1: 9060 Nw Skyview Avenue, Kansas City, MO 64154RIA
BD
CRD#: 168203
Kansas City, MO
Past
August 19, 2015 - August 21, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
KANSAS CITY, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Kansas(4/3/2023)
IAR
Kansas(4/3/2023)
RR
Missouri(4/3/2023)
IAR
Missouri(5/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/30/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Mailing Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Phone number
(913) 905-8116
Established
Missouri since 11/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (29 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMUNITYAMERICA CUSO ONE LLC | SHAREHOLDER | |
| CHRISTIAN, TRACY | ELECTED MANAGER | 7678129 |
| DEHNER, MICHAEL JAMES | FINANCIAL OPERATIONS PRINCIPAL | 7334680 |
| GINTER, LISA ROSELLE | ELECTED MANAGER | 6482083 |
| HAGGERTY, MICHAEL PATRICK | PRESIDENT, CHIEF COMPLIANCE OFFICER | 3172920 |
| KROPP, STEPHEN DALE | ELECTED MANAGER | 7337607 |
| PATRICK, MICHAEL ALAN | ELECTED MANAGER | 6482087 |
| SARACINI, TIMOTHY RICE | ELECTED MANAGER | 1303842 |
Regulatory assets under management
| Total Number of Accounts | 4,082 |
| AUM (Assets Under Management) | $ 346,070,238 |
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.
