Steven Anders Bates
Professional Summary
Steven Anders Bates is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
BD|APCO | WINDRIVER CAPITAL, LLC | BD|CORTINA
Contact Information
Main Address
2110 East Murry Holladay Road, Salt Lake City, UT 84117Mailing Address
Po Box 982437, Park City, UT 84098Phone Number
(801) 232-2229Established
Utah since 10/16/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BATES, STEVEN ANDERS | MANAGING MEMBER/PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
Disclosures
Regulatory Event
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EAGLE STRATEGIES LLC
NET WORTH ADVISORY GROUP, LLC
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(5/6/1999)
(1/12/1999)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Steven Anders Bates's CRS (Customer Relationship Summary).
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