Steven P. 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.
Steven Paul Bates, who also goes by Steve Paul Bates, Steven Paul Bates, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1990. Steven had worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2021 - November 22, 2022
THE LEADERS GROUP, INC.
April 9, 2015 - August 9, 2019
ALLIANZ LIFE FINANCIAL SERVICES, LLC
March 10, 2009 - April 1, 2015
QUESTAR ASSET MANAGEMENT, INC.
January 30, 2009 - April 1, 2015
QUESTAR CAPITAL CORPORATION
October 1, 2007 - May 8, 2008
SIGNATOR INVESTORS, INC.
August 15, 2007 - May 8, 2008
SIGNATOR INVESTORS, INC.
June 28, 2006 - August 2, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
June 28, 2006 - August 2, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
March 25, 2003 - April 26, 2006
CITICORP INVESTMENT SERVICES
March 24, 2003 - April 26, 2006
CITICORP INVESTMENT SERVICES
February 7, 2003 - March 28, 2003
SUNSET FINANCIAL SERVICES, INC.
August 28, 2001 - December 20, 2002
NEW ENGLAND SECURITIES
December 12, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 12, 1990 - August 2, 2001
PRUCO SECURITIES, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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