Nicholas Jason Yates
Investment adviser representative at Raymond James Financial Services Advisors, Inc
14 yearsExperience
1 stateRegistered in
$390BFirm assets
17 yearsFirm in business
Are you Nicholas Jason Yates? Claim your profile
Contact this firm
How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
14 years in the industry.
- Raymond James Financial Services Advisors, Inc.Apr 2026 to now
- Raymond James Financial Services, Inc.Nov 2025 to now
- Ventura County Community Development Corporation (vccdc)Jan 2024 to Nov 2025
- HomemakingDec 2021 to Dec 2023
- JP Morgan Chase Bank NADec 2015 to Dec 2021
- J.P. Morgan Securities LLCOct 2012 to Dec 2016
Exams passed
- Series 63 · Uniform Securities Agent State Law2011
- Series 66 · Uniform Combined State Law2026
State registrations
Registered as an investment adviser representative in 1 state (CA).
Raymond James Financial Services Advisors, Inc
$390BAssets managed
508,439Clients
6,726Advisers
17 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5884596
- Firm CRD
- 149018