Edward L. Bates
Professional summary
Edward Lee Bates was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Edward had worked at 5 firms, which includes GREAT AMERICAN FINANCIAL NETWORK INC., SCHNEIDER SECURITIES INC., PACIFIC SOUTHERN SECURITIES INC., UBS FINANCIAL SERVICES INC., POWER SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 1994 - November 24, 1998
GREAT AMERICAN FINANCIAL NETWORK, INC.
April 21, 1992 - June 1, 1994
SCHNEIDER SECURITIES, INC.
January 29, 1990 - April 21, 1992
PACIFIC SOUTHERN SECURITIES, INC.
August 11, 1989 - February 5, 1990
UBS FINANCIAL SERVICES INC.
January 16, 1989 - August 15, 1989
PACIFIC SOUTHERN SECURITIES, INC.
May 6, 1988 - January 19, 1989
POWER SECURITIES CORPORATION
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
Current Firm
GREAT AMERICAN FINANCIAL NETWORK, INC.
CRD#: 14108 / SEC#: , 8-30268
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.
