Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stuart? Claim Your ProfileStuart Bates is a financial advisor registered with Charles Schwab & CO., INC. Stuart has been in the industry since May 9, 1987. Stuart is registered with the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Stuart is a Registered Representative with FINRA and is licensed to provide investment advice in the state of Arizona. Stuart is also a member of Genial Ventures LLC, Arizona Life Sciences LLC, and Natural Hen LLC. Stuart specializes in providing both financial planning and selection of other advisers.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
AZ
10/15/2015 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
CA
03/05/1997 - 06/19/1997
ROUND HILL SECURITIES, INC. (ALAMO CA)
AZ
03/02/1992 - 02/20/1997
NORCROSS & COMPANY (PHOENIX AZ)
NA
01/02/1989 - 02/28/1992
CENPAC SECURITIES CORP.
NA
05/31/1988 - 12/22/1988
HIBBARD BROWN & CO., INC.
NA
03/25/1987 - 05/31/1988
SHERWOOD CAPITAL, INC.
BOTH
Issued 5/2/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 4/6/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 2/2/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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