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Eric Brandon Bates

Rubicon Advisors

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About Eric Brandon Bates

Eric Bates is a financial advisor at Rubicon Advisors. Eric has over 25 years of experience in the financial services industry. Eric is a registered representative and investment advisor representative in California and Texas. Eric specializes in providing financial planning and investment management services to individuals, families, and businesses.

Firm Information

Eric Bates is currently registered with Rubicon Advisors. Rubicon Advisors is an investment advisor headquartered in Redding, California. They provide financial planning, pension consulting, and portfolio management services to individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. They have over $293 million in regulatory assets under management and offer a wrap fee program.
Rubicon Advisors

1640 EAST CYPRESS

REDDING, CA 96002

$293.85M

Assets Under Management

Not reported

Total Clients

8

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Eric Bates’s Registration & Firm History

CA

09/10/2021 - Present

Rubicon Advisors (REDDING CA)

CA

06/30/2015 - 09/27/2017

WELLS FARGO CLEARING SERVICES, LLC (ROSEVILLE CA)

CA

06/15/2009 - 07/15/2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED (LINCOLN CA)

CA

06/01/2009 - 06/26/2009

MORGAN STANLEY SMITH BARNEY (SACRAMENTO CA)

CA

05/09/2003 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (SACRAMENTO CA)

NY

04/15/1997 - 05/13/2003

MORGAN STANLEY DW INC. (PURCHASE NY)

NY

12/01/2000 - 12/13/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

12/08/1994 - 04/17/1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

06/08/1994 - 12/15/1994

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 06/22/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/10/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/07/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Eric Brandon Bates.
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