Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tobias? Claim Your ProfileTobias C. Bateson is an investment advisor representative with Wells Fargo Clearing Services, LLC. Tobias has been in the financial services industry since 1993 and has a wide range of experience in investment management, financial planning and portfolio management. Tobias holds the following licenses: Series 3, 7, 9, 10, 63, 65, and SIE. Tobias is also registered as an investment advisor in several states, including California, Idaho, New Mexico and Texas. Tobias is committed to providing his clients with personalized service and guidance to help them achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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.
1
2
ID
08/04/2015 - Present
Wells Fargo Clearing Services, LLC (COEUR D'ALENE ID)
CA
01/03/2001 - 03/06/2006
CITIGROUP GLOBAL MARKETS INC. (BREA CA)
NY
08/03/1993 - 01/04/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/17/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/2006
Series 3 - National Commodity Futures Examination
BC
Issued 08/02/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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