Steven A. Bates
Professional summary
Steven Anders Bates is a registered financial professional currently at BD|CORTINA located in Salt Lake City, Utah.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Anders Bates's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 1999 - Present
BD|CORTINA
Office #1: 2110 East Murry Holladay Road, Salt Lake City, UT 84117January 30, 1998 - December 4, 1998
HUNTER CAPITAL GROUP, L.L.C.
January 11, 1995 - March 19, 1996
DABNEY/RESNICK/IMPERIAL, 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
(5/6/1999)
(1/12/1999)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
BD|CORTINA
CRD#: 46284 / SEC#: , 8-51365
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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