William Tate Yawn

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2020-12-07
GA	RA	APPROVED	2019-07-19
TN	RA	APPROVED	2005-03-10
TX	RA	APPROVED	2005-02-25

FL RA
APPROVED

Since 2020-12-07
GA RA
APPROVED

Since 2019-07-19
TN RA
APPROVED

Since 2005-03-10
TX RA
APPROVED

Since 2005-02-25

Branch Locations

Santa Rosa Beach, FL • United States

34990 Emerald Coast Pkwy, Destin, FL 32541 • United States

Atlanta, GA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Destin	FL	02/2005	Present
Bank Of America, Na	Destin	FL	12/2009	Present

02/2005 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Destin, FL
12/2009 → Present

Bank Of America, Na

Destin, FL

Previous Registrations

2003-07-01 → 2005-02-28

Wells Fargo Clearing Services, Llc

Memphis, TN
2003-01-10 → 2003-07-01

Prudential Equity Group, Llc

Memphis, TN

Other Businesses

1.NAME: KEISER COLLEGE 2.INVESTMENT RELATED: NO 3.ADDRESS: 6151 LAKE OSPREY DRIVE - SARASOTA, FLORIDA 34240 4.NATURE: CFP COURSE LECTURER AND FACILITATOR - NOT INVESTMENT RELATED 5.YOUR POSITION, TITLE, ASSOCIATION: BUSINESS COLLEGE 6.START DATE: BUSINESS COLLEGE 7.NUMBER OF HOURS DEVOTED PER MONTH: 16 HOURS 8.NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 9.DUTIES: PREPARING CFP CANDIDATES FOR CFP QUALIFYING EXAMS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-06-28
S63	Uniform Securities Agent State Law Examination	1995-06-13

S65 Uniform Investment Adviser Law Examination

1995-06-28
S63 Uniform Securities Agent State Law Examination

1995-06-13

Other Names

Tate Yawn

View on SEC IAPD