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Patrick Yates
39 Years of Experience
Louisville, KY
2 DisclosuresBroker
Patrick Yates is a registered investment advisor at Raymond James & Associates, INC., based in Louisville, KY, with 39 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
4969 Us Hwy 42, Suite 1600, Louisville, KY, 40222
Get directionsHistory
Regulatory History (2)
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Customer Dispute
January 2003Denied
Customer Dispute
May 1992Settled
Employment History
Current Registrations
Raymond James & Associates, INC.
September 2014 - Present · 11 yrs 8 mos
Raymond James & Associates, INC.Broker
September 2014 - Present · 11 yrs 8 mos
Previous Registrations
UBS Financial Services INC.
February 2004 - September 2014 · 10 yrs 7 mos
UBS Financial Services INC.Broker
March 2002 - September 2014 · 12 yrs 6 mos
Morgan Stanley Dw INC.Broker
June 1991 - March 2002 · 10 yrs 9 mos
Marketing One Securities, INC.Broker
March 1990 - December 1990 · 9 mos
The Ohio CompanyBroker
August 1986 - March 1990 · 3 yrs 7 mos
Pruco Securities CorporationBroker
December 1985 - June 1986 · 6 mos
State Registrations24 states
ALAZCACTFLGAILINKYMAMINCNVNYOHOKPASCTNTXVAVTWAWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.