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GG

George N. Gates

YELLOW CARDINAL CORPORATE FINANCE
Cincinnati, OH 45202
Some features on this profile are disabled
CRD#: 7800889
GG

Professional summary

George Nicholas Gates, who also goes by George N Gates, is a registered financial professional currently at YELLOW CARDINAL CORPORATE FINANCE, LLC located in Cincinnati, Ohio.

George is registered as a RR (Registered Representative) and started their career in finance in 2024. George has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George N Gates

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view George Nicholas Gates'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®
None

Experience

Current

December 21, 2024 - Present

YELLOW CARDINAL CORPORATE FINANCE, LLC

Office #1: 255 E Fifth Street, Suite 700, Cincinnati, OH 45202
BD
CRD#: 135111
Cincinnati, OH

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
Illinois
(5/3/2025)
RR
Indiana
(5/3/2025)
RR
Kentucky
(5/3/2025)
RR
Nevada
(5/3/2025)
RR
Ohio
(5/5/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/2/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/20/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/18/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

YC
YELLOW CARDINAL CORPORATE FINANCE, LLC
BRADY WARE CORPORATE FINANCE, LLC | YELLOW CARDINAL CORPORATE FINANCE, LLC

CRD#: 135111 / SEC#: , 8-66894

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
9120 Union Centre Blvd Suite 200, West Chester, OH 45069
Mailing Address
9120 Union Centre Blvd Suite 200, West Chester, OH 45069
Phone number
(513) 603-4046
Established
Ohio since 02/08/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST FINANCIAL BANCORPOWNER
CORNELL, SHANNON MARIEPRESIDENT AND CCO4746478
GMEINER, THOMAS JUDEFINOP5209167
WARNER, KEITH ANDREWAMLCO5130011

Disclosures

Regulatory Event1

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

YELLOW CARDINAL CORPORATE FINANCE, LLC

CRD#: 135111Cincinnati, OH 45202

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