Carol L. 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.
Carol Lovelace Bates, who also goes by Jeannie Bates, Carol Lovelace Rates, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1983. Carol had worked at 2 firms and has passed the Series 63, Series 52, Series 54FN and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 1991 - November 6, 1991
POWELL & SATTERFIELD, INC.
May 12, 1983 - July 16, 1991
BAILEY & ASSOCIATES, INC.
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 54FN
Date: 4/18/1987
Municipal Securities Financial and Operations Principal ExaminationCurrent Firm
POWELL & SATTERFIELD, INC.
CRD#: 7030 / SEC#: , 8-20131
Contact information
Documents
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.
