Douglas K. Bates
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas K Bates, who also goes by Doughas K Bates, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1983. Douglas had worked at 3 firms and has passed the Series 63, Series 5, Series 15, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2006 - April 14, 2010
SAWTOOTH INVESTMENT MANAGEMENT LLC
March 10, 2006 - January 12, 2022
CLEARWATER ADVISORS, LLC
November 25, 1983 - January 1, 1998
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/23/1983
Interest Rate Options ExaminationSeries 15
Date: 11/23/1983
Foreign Currency Options ExaminationSeries 8
Date: 5/26/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
