Inactive

Scott Anthony Yates

LPl Financial LLC

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Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2012-05-24

TX RA
APPROVED

Since 2012-05-24

Branch Locations

9525 Katy Fwy, Ste 315, Houston, TX 77024 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Client Management Services	Houston	TX	10/2004	Present
Lpl Financial Llc	Houston	TX	11/2011	Present

10/2004 → Present

Client Management Services

Houston, TX
11/2011 → Present

Lpl Financial Llc

Houston, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-05-23
S63	Uniform Securities Agent State Law Examination	2000-10-07

S65 Uniform Investment Adviser Law Examination

2012-05-23
S63 Uniform Securities Agent State Law Examination

2000-10-07

Other Names

Scott Anthony Yates
Scott Yates

View on SEC IAPD

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Other Investors

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AUSTIN GENTRY MARRS

JONATHAN HARRISON SWANBURG

WILLIAM THOMAS PAYNE

JON CARTER VAUGHAN

GREGORY JAMES KALLUS

Philip Chukwuezugo Onochie

Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX

TSA WEALTH MANAGEMENT · HOUSTON, TX

PEREA CAPITAL · HOUSTON, TX

TRI-STAR ADVISORS, INC. · HOUSTON, TX

HORNOR, TOWNSEND & KENT, LLC · Houston, TX

AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX

LPL FINANCIAL LLC · HOUSTON, TX

MARINER INDEPENDENT · Houston, TX

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