Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theodore? Claim Your ProfileTheodore Bright Bates is an investment advisor with Robert W. Baird & Co. Inc. in Lexington, Kentucky. Theodore has been in the industry since 1986, and has been registered with the Financial Industry Regulatory Authority (FINRA) since 1984. Theodore has experience in securities, commodities, and investment advising. Theodore is a registered representative in Kentucky, Texas, and other states. Theodore is also a registered investment advisor in Kentucky and Texas. Theodore holds the Series 3, 7, 63, and 65 licenses.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
KY
10/18/2019 - Present
Robert W. Baird & Co. Inc. (Lexington KY)
KY
07/08/1998 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (LEXINGTON KY)
NY
07/25/1987 - 04/24/1997
MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)
NY
10/26/1984 - 04/24/1997
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
IA
Issued 12/15/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1985
Series 3 - National Commodity Futures Examination
BC
Issued 10/20/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Theodore Bates is the right advisor for you? Invested Better is here to help.
