Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Richard Bates is a registered representative with Raymond James Financial Services Advisors, Inc. in St. George, UT. Bates has been in the securities industry since March 10, 2011 and has passed several securities licensing exams including Series 7, Series 66, Series 9, and Series 10. Bates is registered to provide investment advice in 19 states and has a strong history of working with a variety of clients, including high-net-worth individuals, corporations, and pension plans. Bates' firm, Raymond James Financial Services Advisors, Inc., is a well-established company with a strong track record of providing investment advice and financial planning services.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
UT
07/27/2022 - Present
Raymond James Financial Services Advisors, Inc. (St. George UT)
UT
03/11/2011 - 07/22/2022
EDWARD JONES (ST GEORGE UT)
BOTH
Issued 03/25/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/22/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/31/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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