Christian YatesCRD Number: 6112848
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Christian Yates (CRD# 6112848) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Oklahoma City, OK and has over 5 years of experience in the finance industry.
Lpl Financial LLC
Mark I Asset Management, Ltd
Heritage Institutional Services, LLC
|Bank Of America, N.a.||Oklahoma City, OK||Dec 2012 - Current||5|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Oklahoma City, OK||Aug 2012 - Current||5|
|Office Max||Norman, OK||May 2011 - Aug 2012||1|
|Unemployed||Warr Acres, OK||Dec 2010 - May 2011||< 1|
|Citi Financial||Stillwater, OK||Apr 2009 - Dec 2010||1|
|Unemployed||Oklahoma City, OK||Mar 2009 - Apr 2009||< 1|
|Beneficial Finance||Oklahoma City, OK||May 2006 - Mar 2009||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Dec 2012|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Customer Dispute
Total Assets Under Management575,342MILLIONS
Total Number of Accounts1,715,259ACCOUNTS
Average Account Value$335,425
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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