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Craig Yates

26 Years of Experience
Mount Laurel, NJ
1 DisclosureBroker

Craig Yates is a registered investment advisor at Morgan Stanley, based in Mount Laurel, NJ, with 26 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

330 Fellowship Road, Mount Laurel, NJ, 08054

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2004
Denied
Other Business Activities

Craig is the president of Flex Gym Inc., a health club, but has no responsibilities. He is also the spouse of a main character in a TV pilot called Thicker Than Water.

Employment History
Current Registrations
Morgan Stanley
May 2016 - Present · 10 yrs
Morgan Stanley
May 2016 - Present · 10 yrs
Morgan StanleyBroker
May 2016 - Present · 10 yrs
Previous Registrations
UBS Financial Services INC.
April 2009 - May 2016 · 7 yrs 1 mo
UBS Financial Services INC.Broker
April 2009 - May 2016 · 7 yrs 1 mo
Citigroup Global Markets INC.
February 2006 - May 2009 · 3 yrs 3 mos
Citigroup Global Markets INC.Broker
February 2006 - May 2009 · 3 yrs 3 mos
Legg Mason Wood Walker INC
July 2002 - February 2006 · 3 yrs 7 mos
Legg Mason Wood Walker, IncorporatedBroker
July 2002 - February 2006 · 3 yrs 7 mos
Merrill Lynch Pierce Fenner & Smith INC.
August 2001 - July 2002 · 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1999 - July 2002 · 3 yrs 3 mos
State Registrations19 states
ARAZCACOCTDEFLMDMENJNMNVNYOHORPARISCTX
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.