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CY

Carrie I. Yates

HUB INVESTMENT PARTNERS
Carriere, MS
Some features on this profile are disabled
CRD#: 6301898
CY

Professional summary

Carrie Irene Yates, who also goes by Carrie Irene Willis, is a registered financial advisor currently at HUB INVESTMENT PARTNERS, LLC located in Carriere, Mississippi.

Carrie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Carrie has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carrie Irene Willis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carrie Irene Yates's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 4, 2022 - Present

HUB INVESTMENT PARTNERS, LLC

RIA
CRD#: 307956
Carriere, MS
Past

April 8, 2021 - December 31, 2021

HUB INVESTMENT PARTNERS, LLC

RIA
CRD#: 307956
CARRIERE, MS
Past

February 27, 2018 - January 20, 2021

TD AMERITRADE, INC.

RIA
CRD#: 7870
METAIRIE, LA
Past

February 26, 2018 - January 20, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
METAIRIE, LA
Past

February 26, 2018 - January 20, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
METAIRIE, LA
Past

June 20, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

June 20, 2017 - February 26, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
COVINGTON, LA
Past

February 24, 2016 - June 19, 2017

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
COVINGTON, KY
Past

April 4, 2014 - June 19, 2017

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HUB INVESTMENT PARTNERS, LLC
HUB INVESTMENT PARTNERS, LLC
AFS FINANCIAL GROUP | VERIPAX WEALTH MANAGEMENT | TCG ADVISORY SERVICES, LLC | TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY | TCG ADVISORS | HUB INVESTMENT PARTNERS, LLC | HUB ADVISOR CONNECT | FULL SUITE WEALTH | BRIDGECREEK INVESTMENT MANAGEMENT | AGAPE INVESTMENT ADVISORS, LLC

CRD#: 307956 / SEC#: 801-118346

RIA
Registered Investment Advisory firm - (4/1/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Florida
(10/28/2024)
IAR
Louisiana
(1/4/2022)
IAR
Mississippi
(1/4/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/23/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/21/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/4/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/17/2017
General Securities Principal Examination

Current Firm

HUB INVESTMENT PARTNERS, LLC
HUB INVESTMENT PARTNERS, LLC
AFS FINANCIAL GROUP | VERIPAX WEALTH MANAGEMENT | TCG ADVISORY SERVICES, LLC | TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY | TCG ADVISORS | HUB INVESTMENT PARTNERS, LLC | HUB ADVISOR CONNECT | FULL SUITE WEALTH | BRIDGECREEK INVESTMENT MANAGEMENT | AGAPE INVESTMENT ADVISORS, LLC

CRD#: 307956 / SEC#: 801-118346

RIA
Registered Investment Advisory firm - (4/1/2020 Approved)
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Contact information

Main Address
900 S. Capital Of Tx Highway Suite 350, Austin, TX 78746
Mailing Address
Phone number
(512) 600-5390
Established
Firm type
Fiscal year end
# of Employees
144

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TCG FORM ADV PART 2A - MARCH 2023 (3/27/2025)

Regulatory assets under management

Total Number of Accounts8,633
AUM (Assets Under Management)$ 8,979,977,344

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/28/2025
Cover Page
Report
04/29/2025
Cover Page
Report
01/29/2024
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

HUB INVESTMENT PARTNERS, LLC

HUB INVESTMENT PARTNERS, LLC

CRD#: 307956Carriere, MS

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