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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bartley? Claim Your ProfileBartley James Bates is a financial advisor who has been in the industry since 1988. He is currently registered with UBS Financial Services Inc. in Florida, North Carolina and Texas. Bartley has experience working with a variety of clients, including individuals, corporations, insurance companies, and charitable organizations. His expertise lies in financial planning, pension consulting, and educational seminars. Bartley has held previous roles with RBC DAIN RAUSCHER INC., WILLIAM R. HOUGH & CO. and RAYMOND JAMES & ASSOCIATES, INC..
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
FL
09/10/2009 - Present
UBS Financial Services Inc. (ST. PETERSBURG FL)
FL
02/27/2004 - 09/06/2007
RBC DAIN RAUSCHER INC. (ST. PETERSBURG FL)
FL
08/15/1994 - 02/27/2004
WILLIAM R. HOUGH & CO. (ST. PETERSBURG FL)
FL
10/19/1988 - 08/26/1994
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
IA
Issued 12/29/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/17/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/02/1997
Series 24 - General Securities Principal Examination
BC
Issued 07/13/1997
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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