KB
Kevin J. Bates
KESTRA ADVISORY SERVICES
ROYAL OAK, MI 48067
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CRD#: 1041009
KB
Professional summary
Kevin James Bates is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Royal Oak, Michigan and KESTRA INVESTMENT SERVICES, LLC located in Royal Oak, Michigan.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Kevin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 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.
Business Name: KESTRA ADVISORY SERVICES, LLC Investment Related: Yes Address: 5707 SOUTHWEST PARKWAY, BUILDING 2, SUITE 400 AUSTIN TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 6/7/2019 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Investment Advisor Representative Business Name: Cambridge Consulting Group, LLC DBA NFP Investment Related: Yes Address: 400 West Fourth Street, Suite 300 Royal Oak MI 48067 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Consultant Start Date: 6/7/2019 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Registered representative selling insurance and investment products. Business Name: VAN NORMAN LAKE IMPROVEMENT BOARD POSITION: Board Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: -, 5240 Civic Center Dr., Waterford MI 48329, United States DESCRIPTION: Attend two meeting per year and keep the Board aware of condition of the lake.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin James 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®
NoneExperience
Current
June 10, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 400 W. 4th Street Suite 300, Royal Oak, MI 48067RIA
CRD#: 283330
ROYAL OAK, MI
Current
June 10, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 400 West Fourth St. Suite 300, Royal Oak, MI 48067BD
CRD#: 42046
Royal Oak, MI
Past
February 8, 2010 - June 10, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ROYAL OAK, MI
Past
April 7, 2003 - January 14, 2008
CAMBRIDGE ADVISORS & CO., LTD.
RIA
CRD#: 113633
TROY, MI
Past
March 3, 1983 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 3, 1983 - June 10, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ROYAL OAK, MI
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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(6/10/2019)
RR
California(6/10/2019)
RR
Colorado(6/10/2019)
RR
Connecticut(6/10/2019)
RR
District of Columbia(9/18/2020)
RR
Florida(6/10/2019)
RR
Georgia(6/10/2019)
RR
Idaho(6/10/2019)
RR
Illinois(7/1/2019)
RR
Indiana(6/10/2019)
RR
Iowa(6/10/2019)
RR
Kansas(6/10/2019)
RR
Kentucky(6/10/2019)
RR
Maryland(6/10/2019)
RR
Massachusetts(6/10/2019)
RR
Michigan(6/10/2019)
IAR
Michigan(6/10/2019)
RR
Minnesota(6/10/2019)
RR
Missouri(6/10/2019)
RR
Nevada(10/27/2023)
RR
New Hampshire(6/10/2019)
RR
New Jersey(10/28/2024)
RR
New York(6/10/2019)
RR
North Carolina(6/10/2019)
RR
Ohio(6/10/2019)
RR
Pennsylvania(6/10/2019)
RR
South Dakota(6/10/2019)
RR
Texas(6/10/2019)
RR
Virginia(6/10/2019)
RR
Washington(6/10/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
