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Jim Yates

Compliance Officer @ Kovack Securities, Inc.

Jim Yates Contact Details

Miami/Fort Lauderdale Area
Compliance Officer @ Kovack Securities, Inc.
Compliance Officer @ Mutual Service Corporation

Compliance Officer @ Compliance Officer @ From 2006 to 2009 (3 years)

University of California, Santa Barbara Jim Yates is skilled in: Series 24, FINRA, Series 7, Series 65, Securities, Series 63, Investment Advisory, Uniform Combined State Law, Mutual Funds, Wealth Management, Alternative Investments, Retirement, Retirement Planning, Asset Allocation, Fixed Annuities

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