David Yates has been an investment adviser representative at Podell Financial Group since May 2023, and is not listed among the firm’s executive officers or direct owners.
Podell Financial Group LLC is a Fairfield, NJ firm with $228M under management, 236 clients and 4 advisers in one office, as of its March 2026 filing.
David Yates’ longest registration was 9 years at Eagle Strategies LLC (2009–2019). Before joining Podell Financial Group in 2023, David Yates was registered through Eagle Strategies LLC and Prudential Financial Planning Services.
- Podell Financial Group LLCCurrent– present · 3 yearsFairfield, NJ · Adviser representative · Firm CRD 325383
- Eagle Strategies LLC– · 1 yearFairfield, NJ · Adviser representative · Firm CRD 110826
- Prudential Financial Planning Services– · under a yearBrick, NJ · Adviser representative · Firm CRD 5685
- Eagle Strategies LLC– · 9 yearsWall, NJ · Adviser representative · Firm CRD 110826
- New York Life Investment Management LLC– · 4 yearsParsippany, NJ · Adviser representative · Firm CRD 109591
Investment adviser representative registrations
David Yates is registered as an investment adviser representative in New Jersey, since May 2023.
- New JerseySince 24 May 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 8 October 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 August 2000 |
| Series 7 | General Securities Representative Examination | 2 August 2000 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 8 June 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- CRD
- 2645267
- Firm
- Podell Financial Group · CRD 325383
- Office
- 271 ROUTE 46W, SUITE D105, Fairfield, NJ 07004
- Registration
- Investment adviser registration
- In the industry since
- November 1999
- Disciplinary history
- Not yet shown here · SEC record
Where does David Yates work?
David Yates is an investment adviser representative registered through Podell Financial Group LLC since May 2023, and is not listed among the firm’s executive officers or direct owners.
Is David Yates a financial advisor?
Yes. David Yates has a current investment-adviser registration in New Jersey, through Podell Financial Group since May 2023.
How many years of experience does David Yates have?
David Yates has 26 years in the financial industry, since November 1999, across 4 adviser firms.
What exams has David Yates passed?
David Yates has passed 4 licensing exams: the Series 6, Series 7, Series 63 and Series 65. The earliest, the Series 6, was passed in June 1999. FINRA credited David Yates with the SIE, which began in October 2018.
Where did David Yates work before Podell Financial Group?
Before Podell Financial Group, David Yates was registered through Prudential Financial Planning Services, July 2019 to March 2020; Eagle Strategies LLC, September 2009 to March 2019; New York Life Investment Management LLC, October 2004 to May 2009.
Where is David Yates based?
David Yates’ registered office is in Fairfield, NJ.
Is David Yates registered with FINRA?
No. David Yates has no current broker registration.
How can I verify David Yates’ record?
Search CRD 2645267 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Yates’ full registration record.