Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elizabeth? Claim Your ProfileElizabeth Bates has over 20 years of experience in the financial services industry. Elizabeth is a registered representative of Raymond James & Associates, Inc. and holds the Series 7, 63 and 66 licenses. Elizabeth has been with Raymond James & Associates, Inc. since January 2017. Prior to that, she worked for FTB Advisors, Inc., Stifel, Nicolaus & Company, Incorporated, Sterne, Agee & Leach, Inc., RBC Dain Rauscher Inc., Northwestern Mutual Investment Services, LLC and A. G. Edwards & Sons, Inc. Elizabeth specializes in providing financial planning, portfolio management, and other investment advisory services to individuals, businesses, corporations, and other institutions.
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.
Please see note in schedule d - miscellaneous
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.
1
2
FL
01/12/2018 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
TN
03/23/2016 - 04/12/2016
FTB ADVISORS, INC. (MEMPHIS TN)
TN
06/05/2015 - 11/18/2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED (MEMPHIS TN)
TN
02/05/2008 - 06/05/2015
STERNE, AGEE & LEACH, INC. (MEMPHIS TN)
TN
02/09/2004 - 10/09/2007
RBC DAIN RAUSCHER INC. (MEMPHIS TN)
WI
11/27/2002 - 05/22/2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
MO
04/02/2002 - 11/13/2002
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
BOTH
Issued 12/21/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/30/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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