Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Keith Bates has been in the financial services industry since 1988 and is currently a Registered Representative at The Baker Group, LP. Brian holds the Series 7, Series 63, Series 24 and SIE licenses and has extensive experience in the financial industry. Brian has held prior positions at Zions Investment Securities, Inc. and James Baker & Associates, A Limited Partnership. Brian is registered to provide securities services in North Dakota, Texas, and Utah.
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.
Investment strategies for financial institutions and other institutional investors
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.
Negotiable fees based on % of investable assets per client
1
2
UT
05/26/1998 - Present
THE Baker Group, LP (LEHI UT)
UT
02/22/1994 - 06/09/1998
ZIONS INVESTMENT SECURITIES, INC. (SALT LAKE CITY UT)
OK
07/20/1988 - 01/22/1994
JAMES BAKER & ASSOCIATES, A LIMITED PARTNERSHIP (OKLAHOMA CITY OK)
NA
08/08/1989 - 12/30/1990
COMMUNITY BANCBROKERAGE CORPORATION
IA
Issued 05/21/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/21/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/01/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Brian Bates is the right advisor for you? Invested Better is here to help.
