Alan D. Bates

HAMILTON-BATES INVESTMENT RESEARCH

NEWTOWN SQUARE, PA 19073

Some features on this profile are disabled

CRD#: 2137050

Professional summary

Alan David Bates II is a registered financial advisor currently at HAMILTON-BATES INVESTMENT RESEARCH, INC. located in Newtown Square, Pennsylvania.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Alan has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan David Bates II'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®

None

Experience

Current

November 19, 1999 - Present

HAMILTON-BATES INVESTMENT RESEARCH, INC.

Office #1: 4 St. Albans Avenue 2nd Floor, Newtown Square, PA 19073Office #2: 291 Linden Road, Mertztown, PA 19539

RIA

CRD#: 114127

NEWTOWN SQUARE, PA

Past

September 10, 1998 - August 31, 1999

RYAN & COMPANY, LP

CRD#: 21669

WEST CONSHOHOCKEN, PA

Past

June 13, 1995 - November 14, 1996

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

June 18, 1993 - May 20, 1994

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

May 29, 1991 - January 22, 1992

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

California
(4/18/2012)

IAR

Illinois
(4/17/2012)

IAR

Pennsylvania
(11/19/1999)

IAR

Texas
(11/21/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/19/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/28/1991

General Securities Representative Examination

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CRD#: 114127 / SEC#: 801-60463

RIA

Registered Investment Advisory firm - (8/14/2012 Terminated)

California

Registered Investment Advisory firm - (7/6/2012 Approved)

Illinois

Registered Investment Advisory firm - (6/7/2012 Approved)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Ohio

Registered Investment Advisory firm - (9/10/2001 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/29/2012 Approved)

Texas

Registered Investment Advisory firm - (8/8/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mertztown, PA

Mailing Address

Po Box 98, Mertztown, PA 19539

Phone number

(610) 421-4407

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 55,537,100

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.

Similar Advisors

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Jeffrey Kropp

OSAIC WEALTH, INC.

IAR

Chadds Ford, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan D. Bates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan David Bates II's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMILTON-BATES INVESTMENT RESEARCH, INC.

RYAN & COMPANY, LP

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SECURITIES SERVICE NETWORK, LLC

HIBBARD BROWN & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/1992

Series 63

Date: 6/19/1991

Series 7

Date: 5/28/1991

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAMILTON-BATES INVESTMENT RESEARCH, INC.

TRUST BUT VERIFY

Similar Advisors