Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Bates is an investment advisor representative associated with Principal Securities, Inc. and has been in the industry since September 5, 1975. William holds Series 63, 65, 22TO, 6TO, SIE, and 1 licenses. He is registered to conduct business in 31 states and 2 of those states for investment advisor business. William also holds the designation Chartered Financial Consultant. His current position is at Principal Securities, Inc. based in PITTSBURGH, PA.
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
PA
03/06/2021 - Present
Principal Securities, Inc. (PITTSBURGH PA)
MA
08/25/1975 - 12/03/2003
VERAVEST INVESTMENTS, INC. (WORCESTER MA)
BC
Issued 05/28/2005
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/12/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1975
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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