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JB

Jeffrey R. Bates

CHELSEA FINANCIAL SERVICES
ZIONSVILLE, IN
Some features on this profile are disabled
CRD#: 2257717
JB

Professional summary

Jeffrey Rogers Bates, who also goes by Jeff Bates, is a registered financial professional currently at CHELSEA FINANCIAL SERVICES located in Zionsville, Indiana.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1992. Jeffrey has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Bates

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) - BD

Click below to view Jeffrey Rogers Bates's CRS (Customer Relationship Summary).
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 27, 2023 - Present

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
ZIONSVILLE, IN
Past

May 3, 2021 - November 28, 2023

SAN BLAS SECURITIES LLC

BD
CRD#: 290605
CHICAGO, IL
Past

May 1, 2021 - November 28, 2023

SB ADVISORY, LLC

RIA
CRD#: 154680
Zionsville, IN
Past

December 3, 2020 - April 6, 2021

KOVACK ADVISORS, INC.

RIA
CRD#: 140808
Zionsville, IN
Past

November 3, 2020 - April 6, 2021

KOVACK SECURITIES INC.

BD
CRD#: 44848
Zionsville, IN
Past

September 20, 2005 - September 18, 2020

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
INDIANAPOLIS, IN
Past

September 19, 2005 - September 18, 2020

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
INDIANAPOLIS, IN
Past

January 27, 2003 - September 19, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
INDIANAPOLIS, IN
Past

January 27, 2003 - September 19, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 15, 1998 - February 4, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CARMEL, IN
Past

July 31, 1993 - February 4, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 4, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Indiana
(12/6/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/3/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/17/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/3/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CHELSEA FINANCIAL SERVICES
CHELSEA FINANCIAL SERVICES | DBA CHELSEA FINANCIAL SERVICES | CHELSEA MORGAN SECURITIES, INC.

CRD#: 47770 / SEC#: , 8-51916

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
242 Main Street, Staten Island, NY 10307
Mailing Address
242 Main Street, Staten Island, NY 10307
Phone number
(718) 967-8400
Established
New York since 05/05/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PISAPIA, JOHN THOMASPRESIDENT2336216
SEBOLD, STEPHEN RAPHAELCHIEF COMPLIANCE OFFICER2453748

Disclosures

Regulatory Event4

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.

Company Information

CHELSEA FINANCIAL SERVICES

CRD#: 47770Zionsville, IN

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