Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PRESTON CHAMPE YATES
CRD#: 6556756
IA
Investment Adviser
B
Broker
STEPHENSCRD#: 3496 101 S. STRATFORD ROAD
WINSTON-SALEM, NC 27104
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - Present (7 years)
License(s)

State Registrations

B
Alabama 10/30/2017
B
Nevada 4/15/2021
B
Arizona 10/30/2017
B
New Jersey 10/30/2017
B
Arkansas 10/30/2017
B
New Mexico 10/30/2017
B
California 10/30/2017
B
New York 10/30/2017
B
Colorado 10/30/2017
B
North Carolina 10/30/2017
B
Connecticut 10/30/2017
IA
North Carolina 10/30/2017
B
Delaware 10/30/2017
B
Ohio 10/30/2017
B
District of Columbia 10/30/2017
B
Oklahoma 11/2/2020
B
Florida 10/30/2017
B
Pennsylvania 10/30/2017
B
Georgia 10/30/2017
B
South Carolina 10/30/2017
B
Hawaii 4/11/2019
B
Tennessee 10/30/2017
B
Illinois 10/30/2017
B
Texas 10/30/2017
B
Kentucky 10/30/2017
IA
Texas 10/30/2017
B
Maine 10/30/2017
B
Utah 5/10/2023
B
Maryland 10/30/2017
B
Vermont 10/30/2017
B
Massachusetts 10/30/2017
B
Virginia 10/30/2017
B
Michigan 10/30/2017
B
Washington 10/30/2017
B
Minnesota 1/30/2023
B
West Virginia 10/30/2017
B
Montana 5/24/2018
B
Wisconsin 10/30/2017

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STEPHENS (CRD#:3496)
101 S. STRATFORD ROAD, WINSTON-SALEM, NC 27104
Registered with this firm since 10/30/2017
B
STEPHENS (CRD#:3496)
101 S. STRATFORD ROAD, WINSTON-SALEM, NC 27104
Registered with this firm since 10/30/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/06/2015 - 10/20/2017 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) WINSTON-SALEM, NC
B
 10/08/2015 - 10/20/2017 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) WINSTON-SALEM, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.