Scott Yates, financial advisor Houston TX

Scott Yates

CRD Number: 4245997
Current Firm: Lpl Financial LLC

Scott Yates (CRD# 4245997) is an Investment Advisor Representative working at Lpl Financial LLC in Houston, TX and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial LLC Houston, TX Nov 2011 - Current 9
Client Management Services Houston, TX Oct 2004 - Current 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2000
S65 NASAA Investment Advisors Law Examination May 2012
Contact Info for Scott A. Yates
Phone Number: 704-733-3300
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    207,793
    MILLIONS
  • Total Number of Accounts
    892,326
    ACCOUNTS
  • Average Account Value
    $232,867
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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