TB
Thomas R. Bates
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
COLUMBUS, OH 43220
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CRD#: 1037294
TB
Professional summary
Thomas Ray Bates, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Columbus, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Columbus, Ohio.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) PROFESSIONAL INSURANCE SPECIALIST INC, 4656 EXECUTIVE DR, STE 100, COLUMBUS, OH, 1/1996 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/WK - 10/TRADING. 2) QUEEN, BATES AND ASSOCIATES, LLC 4656 EXECUTICVE DR STE 100 COLUMBUS, OH 43220. BEGAN 11/28/2010 AS A PARTNER/MEMBER OF OFFICE SPACE RENTAL. LARRY QUEEN AS WELL OCCUPIES THE FIRST FLOOR AND BASEMENT. RENT OUT THE SECOND FLOOR TO A TITLE AGENCY AND TO AN AATORNEY. DUTIES ARE MAINTAINING THE BLDG AND COLLECTING THE RENT. WE HAVE A SEPARATE CHECKING AND SAVINGS ACCOUNT FOR THIS BUSINESS. NOT INVESTMENT RELATED. DEVOTES 2 HRS/MNTH. DEVOTES 2 HRS/MNTH DURING TRADING. 3) A+ ARTS ACADEMY 270 S NAPOLEAN AVE COLUMBUS, OH 43213 BEGAN 8/1/2004 AS PRESIDENT OF BOARD HOLDING BOARD MEETINGS ONCE PER MONTH, REVIEWING THE SCHOOL ACTIVITIES AND FINANCES FOR THE MONTH AND RESOLVING SCHOOL MATTERS FOR THE SCHOOL. NOT INVESTMENT RELATED. DEVOTES 3 HRS/MNTH. DEVOTES 3 HRS DURING TRADING. 4) DELTA UPSILON FATERNITY 16TH AVE COLUMBUS, OH 43215. BEGAN 1/1/08 AS PRESIDENT OF ALUMNI BOARD MAKING SURE THE UDERGRADS ARE FULFILLING THEIR REQUIREMENTS TO GRADUATE AND TO STAY IN COMPLIANCE WITH THE FRATERNAL ORGANIZATION. REVIEWING THEIR BOOKKEEPING AND RECRUITING. NOT INVESTMENT RELATED. DEVOTES 3 HRS/MNTH. NONE DURING TRADING. NON-PROFIT ORGANIZATION. 5)TPA/PENSION CONSULTING, 4656 EXECUTIVE DR SUITE 100, COLUMBUS , OH 43220 , SELF EMPLOYED, SINCE 1/1/96, NON-INVESTMENT RELATED, 5 HOURS MONTHLY DURING TRADING HOURS. 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 12/WK - 5/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 6) SELLING THE SERVICES OF A TPA, 4656 EXECUTIVE DR, STE 100, COLUMBUS, OH, 1/1996. NIR - 5/MO - 5/TRADING. 7) THOMAS R BATES, CFP, LLC, 4656 EXECUTIVE DRIVE, STE 100, COLUMBUS OH, CONDUIT DELIVING FN-95 MASKS, 04/17/20, NIR, 2/MO- 0/TRADING 8) CATHEL BUILDERS, INC, 340 LEANING FENCE CT, PICKERINGTON, OH, CONSULTANT TO PRIVATE CONSTRUCTION FIRM, 02/15/20, NIR, 1/MO- 1/TRADING 9) THOMAS R. BATES CFP LLC, 4656 Executive Dr., Suite 100, Columbus OH 43220, Tax Referrals, 1099 Contractor, NIR, 0 HR/MO, 0 HR/MO Trading 10) BBQ, 4656 Executive Dr., Suite 100, Columbus OH 43220, 07/2008, Real Estate, NIR, 0 HR/MO - 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Ray Bates's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2006
Experience
Current
October 18, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 4656 Executive Dr Ste 100, Columbus, OH 43220RIA
CRD#: 134139
COLUMBUS, OH
Current
October 18, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 4656 Executive Dr Ste 100, Columbus, OH 43220BD
CRD#: 39543
Columbus, OH
Past
May 16, 2006 - October 25, 2011
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
COLUMBUS, OH
Past
May 15, 2006 - October 25, 2011
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
COLUMBUS, OH
Past
June 1, 2005 - May 18, 2006
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
COLUMBUS, OH
Past
June 1, 2005 - May 18, 2006
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
COLUMBUS, OH
Past
December 7, 1999 - June 1, 2005
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
COLUMBUS, OH
Past
June 28, 1991 - June 1, 2005
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
November 3, 1982 - June 24, 1991
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
July 15, 1982 - June 24, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/18/2011)
RR
California(10/18/2011)
RR
Florida(10/18/2011)
RR
Georgia(10/18/2011)
RR
Indiana(2/5/2024)
RR
Kansas(9/25/2015)
RR
Kentucky(4/28/2022)
RR
Maryland(10/18/2011)
RR
Minnesota(4/30/2025)
RR
Mississippi(11/3/2025)
RR
New Hampshire(3/1/2012)
RR
New Mexico(3/9/2021)
RR
New York(1/2/2020)
RR
North Carolina(2/25/2013)
RR
Ohio(10/18/2011)
IAR
Ohio(10/18/2011)
RR
Pennsylvania(1/2/2018)
RR
South Carolina(10/18/2011)
RR
South Dakota(8/20/2025)
RR
Texas(3/29/2022)
IAR
Texas(3/29/2022)
RR
West Virginia(2/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
