Mark Patrick Yates

Employer firm

Wealth Strategies Group CRD 326407

$103M regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2007 → 12/2023
  Securities America, Inc.
  Costa Mesa, CA
• 04/2004 → Present
  Mark Yates Sole Proprietorship
  Costa Mesa, CA
• 06/2007 → 12/2023
  Securities America Advisors, Inc.
  Costa Mesa, CA
• 06/2001 → Present
  Travis Allen Inc. Dba Wealth Strategies Group
  Newport Beach, CA
• 02/2024 → Present
  Travis Allen Inc. Dba Wealth Strategies Group
  Huntington Beach, CA

Previous Registrations

• 2007-06-29 → 2023-12-20
  Securities America Advisors, Inc.
  Huntington Beach, CA
  Apple Valley, CA
• 2006-04-19 → 2007-07-03
  Brookstreet Securities Corporation
  Costa Mesa, CA
  Costa Mesa, CA

Other Businesses

MARK YATES, SOLE PROPRIETORSHIP: INSURANCE BROKER. INVESTMENT RELATED: NO. No NUMBER OF HOURS: 1 HOUR DURING SECURITIES TRADING HOURS: START DATE: 04/01/2004 ADDRESS: 17011 Beach Blvd #150, Huntington Beach CA 92647 DESCRIPTION: Health, Life & fixed annuity sales.

Exams

• S66 Uniform Combined State Law Examination
  2006-04-17
• S63 Uniform Securities Agent State Law Examination
  2004-01-02

Designations

• Certified Financial Planner