KEITH ANTHONY YATES

KEITH ANTHONY YATES is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 15 CLAIREDAN DRIVE, POWELL, OH, 43065.

KEITH ANTHONY YATES has worked at AMERIPRISE FINANCIAL SERVICES, INC. since November 25, 1986

Disclosure History

KEITH ANTHONY YATES has 3 Disclosure Event(s).

Date: March 26, 2018
Category: Judgment / Lien
Judgment/Lien Amount: $4,809.50
Judgment/Lien Type: Civil

Date: August 21, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $64,797.76
Judgment/Lien Type: Tax

Date: December 27, 2007
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED HE WAS SOLD A VARIABLE UNIVERSAL LIFE POLICY IN 1991 WITH THE IMPRESSION THE PREMIUMS WOULD STAY THE SAME THROUGH THE LIFE OF THE POLICY.
Damage Amount Requested: $5,000.00
Broker Comment: THE FIRM FOUND THE CLIENT RECEIVED PROPER DISCLOSURE REGARDING THE PREMIUMS DUE ON THE POLICY.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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