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STEPHEN LANCE YATES
STEPHEN YATES
CRD#: 2187584
IA
B
MORGAN STANLEYCRD#: 149777 207 East Westminster
Suite 300
Lake Forest, IL 60045
Suite 300
Lake Forest, IL 60045
0
Disclosures
32
Years of Experience
View By:
State Registrations
B
Arizona 5/21/2019
B
New York 4/25/2023
B
California 1/8/2010
B
North Carolina 3/6/2019
B
Colorado 6/8/2020
B
Ohio 1/8/2010
B
Florida 1/8/2010
B
Oregon 1/8/2010
B
Georgia 7/1/2022
B
South Carolina 10/10/2018
B
Hawaii 9/17/2024
B
Tennessee 10/27/2023
B
Illinois 1/8/2010
B
Texas 8/15/2022
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Illinois 1/8/2010
IA
Texas 9/2/2022
B
Minnesota 2/11/2010
B
Washington 1/18/2012
B
Missouri 2/7/2025
B
Wisconsin 2/21/2024
B
Nevada 1/8/2010
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 1/8/2010
B
Registered with this firm since 1/8/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/04/2004 - 01/28/2010 | LAKE FOREST, IL | |
B | 07/28/2004 - 01/11/2010 | CHICAGO, IL | |
IA | 07/28/2004 - 12/31/2009 | CHICAGO, IL | |
IA | 02/25/1998 - 08/23/2004 | NORTHBROOK, IL | |
B | 05/10/1996 - 08/23/2004 | WEEHAWKEN, NJ | |
B | 04/22/1992 - 05/14/1996 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.