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Walter Steven Yates

LPl Financial LLC

Burlington, NC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-01-25
NC RA APPROVED 2022-01-03
  • TX RA
    APPROVED
    Since 2022-01-25
  • NC RA
    APPROVED
    Since 2022-01-03

Branch Locations

3120 S Church St Ste 101, Burlington, NC 27215 • 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
OrganizationCityStateFromTo
Mass Mutual Life Insurance Co Winston Salem NC 07/2018 12/2021
Mml Investors Services, Llc Winston Salem NC 04/2019 12/2021
Elon University Elon NC 03/2014 05/2018
Weatherby Healthcare Durham NC 08/2016 06/2018
Lpl Financial Llc Burlington NC 01/2022 Present
  • 07/2018 → 12/2021
    Mass Mutual Life Insurance Co
    Winston Salem, NC
  • 04/2019 → 12/2021
    Mml Investors Services, Llc
    Winston Salem, NC
  • 03/2014 → 05/2018
    Elon University
    Elon, NC
  • 08/2016 → 06/2018
    Weatherby Healthcare
    Durham, NC
  • 01/2022 → Present
    Lpl Financial Llc
    Burlington, NC
Previous Registrations
Other Businesses

1) 1/2022- Fisher Wealth Management- - DBA for LPL Business (entity for LPL business)- inv. related- BURLINGTON, NC

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-12
  • S66 Uniform Combined State Law Examination
    2019-08-12
Other Names
  • Walt Yates
  • Walter Yates

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · BURLINGTON, NC
EDWARD JONES · BURLINGTON, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Burlington, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Burlington, NC
INTEGRITY ADVISORY SOLUTIONS · Burlington, NC
EDWARD JONES · Burlington, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · Burlington, NC
EDWARD JONES · Burlington, NC

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