Thomas YatesCRD Number: 1419024
Current Firm: Lincoln Financial Securities Corporation
Thomas Yates (CRD# 1419024) is an Investment Advisor Representative working at Lincoln Financial Securities Corporation in Paoli, PA and has over 32 years of experience in the finance industry.
Clothier Springs Capital Management, LLC
Triad Advisors, Inc.
Sensenig Capital Advisors, Inc.
|Lincoln Financial Securities Corporation||Paoli, PA||Jul 2008 - Current||9|
|Jefferson Pilot Securities Corporation||Paoli, PA||Sep 1985 - Jun 2008||22|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1985|
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:
- Customer Dispute
Total Assets Under Management1,541MILLIONS
Total Number of Accounts8,357ACCOUNTS
Average Account Value$184,425
- 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 businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
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