Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Calvert Bates is a financial advisor with over 38 years of experience in the industry. William is a registered representative with LPL Financial LLC and has held several previous positions with firms such as Royal Alliance Associates, Inc., ING Financial Partners, Inc. and Equico Securities, Inc. William has a wide range of experience in financial advising and has obtained various licenses and certifications including the Series 7, Series 6, Series 22, Series 63, Series 65, and SIE exams.
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.
Consulting and other non-discretionary advisory services
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.
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2
MI
10/26/2020 - Present
LPL Financial LLC (CLARKSTON MI)
MI
08/18/2005 - 10/28/2020
ROYAL ALLIANCE ASSOCIATES, INC. (CLARKSTON MI)
CT
05/22/1997 - 08/24/2005
ING FINANCIAL PARTNERS, INC. (WINDSOR CT)
MI
04/22/1994 - 05/27/1997
NORTH AMERICAN FINANCIAL GROUP, INC. (WARREN MI)
NY
11/04/1982 - 04/01/1994
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
11/04/1982 - 04/01/1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 03/29/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/30/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2000
Series 7 - General Securities Representative Examination
BC
Issued 05/11/1988
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 11/03/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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