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DANIEL THADDEUS YATES
CRD#: 2586357
IA
Investment Adviser
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Broker
WELLS FARGO ADVISORSCRD#: 11025 200 N WESTLAKE BLVD
STE 202
WESTLAKE VILLAGE, CA 91362
Registration History
19952000200520102015202020252 FIRMS2005 - 2010 (5 years)2 FIRMS2010 - 2022 (11 years)2 FIRMS2022 - Present (2 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1999 - 2005 (6 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1995 - 1999 (4 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - 2005 (5 years)
Disclosure(s)
View By:
10/5/2001
Customer Dispute
Settled
License(s)

State Registrations

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Arizona 7/29/2022

B
Nevada 7/29/2022

B
California 7/29/2022

B
New Jersey 7/29/2022

IA
California 8/1/2022

B
New Mexico 7/29/2022

B
Colorado 7/29/2022

B
New York 7/29/2022

B
Florida 7/29/2022

B
North Carolina 7/29/2022

B
Idaho 7/29/2022

B
Tennessee 7/29/2022

B
Maryland 7/29/2022

IA
Texas 7/29/2022

B
Massachusetts 7/26/2024

B
Washington 7/29/2022

B
Missouri 11/8/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:11025)
200 N WESTLAKE BLVD STE 202, WESTLAKE VILLAGE, CA 91362
THOUSAND OAKES , CA
Registered with this firm since 7/29/2022

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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
200 N WESTLAKE BLVD STE 202, WESTLAKE VILLAGE, CA 91362
THOUSAND OAKES , CA
Registered with this firm since 7/29/2022

Previous Registration(s)
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11/30/2010 - 08/02/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WESTLAKE VILLAGE, CA
B
10/15/2010 - 08/02/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WESTLAKE VILLAGE, CA
IA
08/26/2005 - 10/19/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) WOODLAND HILLS, CA
B
08/26/2005 - 10/19/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) WOODLAND HILLS, CA
IA
09/25/2000 - 09/22/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
B
07/23/1999 - 09/22/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
04/05/1995 - 07/30/1999 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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.