Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Bates is a financial advisor with LPL Financial LLC. Brian has been in the financial industry for 29 years and holds Series 6, 7, 63, and 65 licenses, along with the SIE. Brian provides financial planning, investment advisory and consulting services for individuals, businesses, corporations, trusts, and estates. Brian has previously worked at PNC Investments, BBVA Securities Inc., J.P. Morgan Securities LLC, Chase Investment Services Corp., Foothill Securities, Inc., Cue Financial Group, Inc., Securities America, Inc., and Sunamerica Securities, 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.
Consulting and other non-discretionary advisory services
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.
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AZ
10/26/2021 - Present
LPL Financial LLC (PHOENIX AZ)
AZ
08/16/2021 - 11/01/2021
PNC INVESTMENTS (PHOENIX AZ)
AZ
10/31/2013 - 08/16/2021
BBVA SECURITIES INC. (PHOENIX AZ)
AZ
10/01/2012 - 10/23/2013
J.P. MORGAN SECURITIES LLC (GILBERT AZ)
AZ
08/30/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (GILBERT AZ)
AZ
08/03/2009 - 06/22/2011
FOOTHILL SECURITIES, INC. (CAVE CREEK AZ)
AZ
09/14/2004 - 08/03/2009
CUE FINANCIAL GROUP, INC. (PHOENIX AZ)
NE
11/09/1998 - 08/03/2004
SECURITIES AMERICA, INC. (LAVISTA NE)
AZ
09/25/1996 - 11/02/1998
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
KS
05/11/1993 - 09/10/1996
WADDELL & REED, INC. (OVERLAND PARK KS)
IA
Issued 04/16/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/12/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1997
Series 7 - General Securities Representative Examination
BC
Issued 05/10/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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