Scott Michael Yates

Current Employers

Raymond James (Usa) Ltd.

2100-925 West Georgia Street, Vancouver V6C3L2 • Canada

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2016-10-13

CA RA
APPROVED

Since 2016-10-13

Branch Locations

Eighth Avenue Place 525 - 8Th Avenue Sw, Calgary, Ab T2P 1G1 • Canada

925 West Georgia St Suite 2100-A, Vancouver V6C 3L2 • Canada

Calgary, Alberta • Canada

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

Organization	City	State	From	To
Raymond James (Usa) Ltd	Calgary, Alberta		03/2015	Present
Raymond James Ltd	Calgary, Alberta		02/2008	Present

03/2015 → Present

Raymond James (Usa) Ltd

Calgary, Alberta
02/2008 → Present

Raymond James Ltd

Calgary, Alberta

Other Businesses

RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH IIROC, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. SCOTT YATES IS LOCATED AT SUITE 4100, 525-8TH AVE SW CALGARY, ALBERTA, CANADA T2P 1G1 AND HAS BEEN EMPLOYED SINCE MAY 22, 2008. HE IS A FULL TIME EMPLOYEEAND HISTITLE WITH RJL IS "FINANCIAL ADVISOR". HE DEVOTES 200 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HIS JOB DUTIES INCLUDE SALES AND PORTFOLIO MANAGEMENT SERVICES.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-10-12

S66 Uniform Combined State Law Examination

2016-10-12