Stephen Yates is a registered investment advisor at Morgan Stanley, based in Lake Forest, IL, with 33 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
207 East Westminster, Suite 300, Lake Forest, IL, 60045
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
January 2010 - Present · 16 yrs 4 mos
Morgan StanleyBroker
January 2010 - Present · 16 yrs 4 mos
Previous Registrations
Vision Investment Services, INC.Broker
November 2004 - January 2010 · 5 yrs 2 mos
Northern Trust Securities, INC.Broker
July 2004 - January 2010 · 5 yrs 6 mos
Northern Trust Securities, INC
July 2004 - December 2009 · 5 yrs 5 mos
UBS Financial Services INC.
February 1998 - August 2004 · 6 yrs 6 mos
UBS Financial Services INC.Broker
May 1996 - August 2004 · 8 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1992 - May 1996 · 4 yrs 1 mo
State Registrations19 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.