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Sandra Eleanor Yates

Raymond James & Associates, Inc.

Bedminster, NJ

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2019-02-28
  • NJ RA
    APPROVED
    Since 2019-02-28

Branch Locations

350 Main Street Suites 4 & 5, Bedminster, NJ 07921 • 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
Scottrade, Inc. Bridgewater NJ 05/2008 03/2018
Jpmorgan Chase Bank, N.A. Bedminster NJ 07/2018 12/2018
J.P Morgan Securities Llc Bedminster NJ 07/2018 12/2018
Unemployed Manville NJ 04/2018 06/2018
Scottrade Investment Management Bridgewater NJ 05/2008 03/2018
Td Ameritrade Services Co., Inc. Formally Scottrade Inc. Bridgewater NJ 05/2008 03/2018
Raymond James & Associates, Inc. Bedminster NJ 02/2019 Present
  • 05/2008 → 03/2018
    Scottrade, Inc.
    Bridgewater, NJ
  • 07/2018 → 12/2018
    Jpmorgan Chase Bank, N.A.
    Bedminster, NJ
  • 07/2018 → 12/2018
    J.P Morgan Securities Llc
    Bedminster, NJ
  • 04/2018 → 06/2018
    Unemployed
    Manville, NJ
  • 05/2008 → 03/2018
    Scottrade Investment Management
    Bridgewater, NJ
  • 05/2008 → 03/2018
    Td Ameritrade Services Co., Inc. Formally Scottrade Inc.
    Bridgewater, NJ
  • 02/2019 → Present
    Raymond James & Associates, Inc.
    Bedminster, NJ
Previous Registrations
  • 2018-09-07 → 2018-12-18
    J.P. Morgan Securities Llc
    Bedminster, NJ
  • 2017-01-27 → 2018-03-08
    Scottrade Investment Management
    Saint Louis, MO
  • 2002-08-08 → 2008-05-02
    Cuso Financial Services, L.P.
    Bridgewater, NJ
    Bridgewater, NJ
  • 2002-06-20 → 2002-08-21
    Charles Schwab & Co., Inc.
    Bridgewater, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-27
S63 Uniform Securities Agent State Law Examination 2000-03-03
  • S66 Uniform Combined State Law Examination
    2002-06-27
  • S63 Uniform Securities Agent State Law Examination
    2000-03-03
Other Names
  • Sandra Eleanor Yates
  • Sandra Eleanor Yates
  • Sandra E Spencer
  • Sandra Eleanor Spencer
  • Sandra E. Yates

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Other Investors

CAMILLO ALFONSO MATTEUCCI
ARMANDO GENARO DIRIENZO
BRADLEY JOHN EICH
MICHAEL JAMES METZGER
RAKEMA LAWYELL WHITE
SCOTT L. CIRELLI
ANDREW J MANGANIELLO
NICHOLAS DANIEL CAMPANILE

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · FLORHAM PARK, NJ
WELLS FARGO CLEARING SERVICES, LLC · FLORHAM PARK, NJ
ROBERT W. BAIRD & CO. INCORPORATED · Florham Park, NJ
WISS PRIVATE CLIENT ADVISORS, LLC · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ

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