Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Coke Bates is an active broker and investment advisor representative with Principal Securities, Inc. Thomas has been in the industry since 2001 and has extensive experience in providing financial planning and investment management services. Prior to joining Principal Securities, Inc., Thomas worked at several other firms including New England Securities, Lincoln Financial Distributors, Inc., Jefferson Pilot Securities Corporation, Todd Securities, Inc., PFG Distribution Company, and Nathan & Lewis Securities, Inc. Thomas is licensed to provide services in all 50 states and is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NC
06/28/2011 - Present
Principal Securities, Inc. (RALEIGH NC)
NC
06/24/2009 - 08/05/2010
NEW ENGLAND SECURITIES (GREENSBORO NC)
NC
07/11/2006 - 02/06/2009
LINCOLN FINANCIAL DISTRIBUTORS, INC. (GREENSBORO NC)
NC
04/18/2006 - 07/12/2006
JEFFERSON PILOT SECURITIES CORPORATION (GREENSBORO NC)
NC
06/05/2002 - 10/05/2005
TODD SECURITIES, INC. (GREENSBORO NC)
PA
06/12/2001 - 04/30/2002
PFG DISTRIBUTION COMPANY (PHILADELPHIA PA)
NY
01/15/1999 - 03/23/2001
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
IA
Issued 11/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2004
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Thomas Bates is the right advisor for you? Invested Better is here to help.
