Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Bates has been in the financial services industry since 2004. Richard is currently registered with Corebridge Capital Services, Inc. in Woodland Hills, CA. Richard has previously held positions with Morgan Stanley, Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc., and Janney Montgomery Scott LLC. Richard is licensed to sell securities in several states, including California, Florida, Maryland, New Jersey, and Pennsylvania. Richard holds the Series 7 and Series 63 licenses, along with the Securities Industry Essentials Examination (SIE).
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.
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CA
06/06/2016 - Present
Corebridge Capital Services, Inc. (WOODLAND HILLS CA)
DC
06/01/2009 - 06/20/2016
MORGAN STANLEY (WASHINGTON DC)
NY
05/13/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
01/23/2006 - 02/26/2007
CITIGROUP GLOBAL MARKETS INC. (WHITE PLAINS NY)
PA
11/16/2004 - 08/12/2005
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
BC
Issued 12/06/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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