Jeffrey P. Bates

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CRD#: 2273114

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.

Jeffrey Paul Bates was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1992. Jeffrey had worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 7, Series 24 and Series 4 exams.

Biography

After a career as a Vice President in the Private Client Services Division of Goldman Sachs, Jeff co-founded multiple boutique investment advisory firms including Kings Point Capital Management. He served as Chief Compliance Officer and Co-Chair of the Investment Committee. Under his leadership, the firm obtained and managed ~$1.7 billion in client assets.

Jeff is an industry-recognized leader and joined Wealth Enhancement Group in 2022 through the Kings Point Capital Management acquisition. As such, he is a founding member of the Kings Point Team serving as the Fixed Income Portfolio Manager and Co-Chair of the Investment Committee. Jeff provides customized investment management services for high-net-worth individuals and institutions by utilizing tactical asset allocation and individual securities.

Jeff is a cancer survivor and has served on several boards including PearlPoint Cancer Foundation. Currently, he serves on the board and finance committee for Home Works!, a teacher home visit program based in St. Louis, MO. In addition, he is an approved FINRA Arbitrator and holds Black Belt degrees in two separate systems.

Question & Answer

What are your service offerings?

Financial planning

Trust & estate planning

Trading individual securities

Retirement planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

Are you a "fiduciary"?

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.

WEALTH ENHANCEMENT GROUP - DBA FOR WEALTH ENHANCEMENT ADVISORY SERVICES ACTIVITY.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 1, 2022 - November 1, 2023

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

BRENTWOOD, TN

Past

November 19, 2007 - April 22, 2009

WEISS MULTI-STRATEGY FUNDS LLC

CRD#: 130991

NEW YORK, NY

Past

January 18, 2006 - June 3, 2022

KINGS POINT CAPITAL MANAGEMENT LLC

RIA

CRD#: 137728

MEMPHIS, TN

Past

January 14, 2005 - May 18, 2006

G2 ADVISORS, LLC

RIA

CRD#: 132163

MEMPHIS, TN

Past

January 20, 2004 - August 11, 2006

STEEL GROVE CAPITAL ADVISORS, LLC

RIA

CRD#: 115231

MEMPHIS, TN

Past

January 2, 2002 - December 31, 2005

GREEN SQUARE SECURITIES, LLC

CRD#: 43244

MEMPHIS, TN

Past

October 26, 2001 - August 27, 2002

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

MEMPHIS, TN

Past

October 27, 1992 - November 15, 2001

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 116407 / SEC#: 801-60749

RIA

Registered Investment Advisory firm - (12/21/2001 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/17/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 2/3/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 11/23/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/26/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/23/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/12/2003

Registered Options Principal Examination

Current Firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 116407 / SEC#: 801-60749

RIA

Registered Investment Advisory firm - (12/21/2001 Approved)

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Contact information

Main Address

505 N Highway 169 Suite 900, Plymouth, MN 55441

Mailing Address

Phone number

(763) 417-1700

Established

Firm type

Fiscal year end

# of Employees

1,230

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEAS ADV PART 2A APPENDIX 1 (10/13/2025)

WEAS ADV PART 2A (10/13/2025)

Regulatory assets under management

Total Number of Accounts	186,400
AUM (Assets Under Management)	$ 94,632,028,506

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/20/2024	Cover Page	Report
03/05/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Jeffrey P. Bates

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEISS MULTI-STRATEGY FUNDS LLC

KINGS POINT CAPITAL MANAGEMENT LLC

G2 ADVISORS, LLC

STEEL GROVE CAPITAL ADVISORS, LLC

GREEN SQUARE SECURITIES, LLC

B. RILEY WEALTH MANAGEMENT

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/1997

Series 63

Date: 11/9/1992

Series 55

Date: 2/3/2003

Series 3

Date: 11/23/1992

Series 7

Date: 10/26/1992

Series 24

Date: 9/23/2003

Series 4

Date: 8/12/2003

Current Firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Contact information

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