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Stephen Lance Yates

Morgan Stanley

Lake Forest, IL

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-09-02
IL RA APPROVED 2010-01-08
  • TX RA
    APPROVED_RES
    Since 2022-09-02
  • IL RA
    APPROVED
    Since 2010-01-08

Branch Locations

207 East Westminster Suite 300, Lake Forest, IL 60045 • 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
Morgan Stanley Smith Barney Llc Lake Forest IL 01/2010 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 01/2010 → Present
    Morgan Stanley Smith Barney Llc
    Lake Forest, IL
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-23
S63 Uniform Securities Agent State Law Examination 1992-03-27
  • S65 Uniform Investment Adviser Law Examination
    1998-01-23
  • S63 Uniform Securities Agent State Law Examination
    1992-03-27
Other Names
  • Stephen Yates

View on SEC IAPD

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NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
OBAR WEALTH MANAGEMENT LLC
EDWARD JONES

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CAROL H. BUSS

Other Offices

J.P. MORGAN SECURITIES LLC · LAKE FOREST, IL
BUSS CAPITAL MANAGEMENT, LLC · LAKE FOREST, IL
ISTO ADVISORS, LLC · Lake Forest, IL
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC · Lake Forest, IL
ROUNDTABLE HEALTHCARE MANAGEMENT, INC · LAKE FOREST, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Lake Forest, IL
OBAR WEALTH MANAGEMENT LLC · LAKE FOREST, IL
EDWARD JONES · LAKE FOREST, IL

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