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Jeffery A Yates

Charles Schwab & Co., Inc.

St Louis, MO

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2022-09-30
  • MO RA
    APPROVED
    Since 2022-09-30

Branch Locations

500 Maryville University Drive, St Louis, MO 63141 • 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
Td Ameritrade St Louis MO 10/2017 12/2022
Panera Bread Co St Louis MO 08/2010 06/2017
Unemployed St Louis MO 06/2017 10/2017
Charles Schwab And Co., Inc. St Louis MO 12/2022 Present
  • 10/2017 → 12/2022
    Td Ameritrade
    St Louis, MO
  • 08/2010 → 06/2017
    Panera Bread Co
    St Louis, MO
  • 06/2017 → 10/2017
    Unemployed
    St Louis, MO
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    St Louis, MO
Previous Registrations
  • 2019-05-14 → 2022-10-14
    Td Ameritrade, Inc.
    St. Louis, MO
  • 2019-05-14 → 2021-02-22
    Td Ameritrade Investment Management, Llc
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-13
S63 Uniform Securities Agent State Law Examination 2017-11-29
  • S66 Uniform Combined State Law Examination
    2019-05-13
  • S63 Uniform Securities Agent State Law Examination
    2017-11-29

View on SEC IAPD

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