Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Bates is a securities professional with over 25 years of experience in the industry. Jeffrey is currently registered with Castleoak Securities, LP and holds the Series 7 and Series 63 licenses. Jeffrey has previously worked at FTN Financial Securities Corp, Spear, Leeds & Kellogg, LP, Utendahl Capital Partners, LP and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
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.
1
2
NY
10/13/2008 - Present
Castleoak Securities, LP (NEW YORK NY)
NJ
01/07/2005 - 10/30/2006
FTN FINANCIAL SECURITIES CORP (JERSEY CITY NJ)
NY
10/08/1997 - 01/07/2005
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
NY
10/23/1995 - 03/21/1997
UTENDAHL CAPITAL PARTNERS, L.P. (NEW YORK NY)
NY
09/26/1994 - 07/10/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 02/03/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/23/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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