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EB

Eric B. Bates

RUBICON ADVISORS
Roseville, CA 95661
Some features on this profile are disabled
CRD#: 2489387
EB

Professional summary

Eric Brandon Bates is a registered financial advisor currently at RUBICON ADVISORS located in Roseville, California and LPL FINANCIAL LLC located in Roseville, California.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Eric has worked at 9 firms and has passed the Series 65, Series 63, SIE 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 Eric Brandon 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

September 18, 2017 - Present

RUBICON ADVISORS

Office #1: 2998 Douglas Blvd., Suite 320, Roseville, CA 95661
RIA
CRD#: 174447
Roseville, CA
Current

September 18, 2017 - Present

LPL FINANCIAL LLC

Office #1: 2998 Douglas Blvd., Suite 320, Roseville, CA 95661
RIA
BD
CRD#: 6413
Roseville, CA
Past

June 30, 2015 - September 27, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ROSEVILLE, CA
Past

June 30, 2015 - September 27, 2017

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ROSEVILLE, CA
Past

June 15, 2009 - July 15, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
LINCOLN, CA
Past

June 15, 2009 - July 15, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
LINCOLN, CA
Past

June 1, 2009 - June 26, 2009

MORGAN STANLEY

RIA
CRD#: 149777
SACRAMENTO, CA
Past

June 1, 2009 - June 26, 2009

MORGAN STANLEY

BD
CRD#: 149777
SACRAMENTO, CA
Past

May 9, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SACRAMENTO, CA
Past

May 9, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SACRAMENTO, CA
Past

December 1, 2000 - December 13, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 24, 1998 - May 13, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SACRAMENTO, CA
Past

April 15, 1997 - May 13, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

December 8, 1994 - April 17, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 8, 1994 - December 15, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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".
RA
RUBICON ADVISORS
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP

CRD#: 174447 / SEC#: 801-109012

RIA
Registered Investment Advisory firm - (1/27/2017 Approved)
Arizona
Registered Investment Advisory firm - (2/8/2017 Terminated)
California
Registered Investment Advisory firm - (3/10/2017 Terminated)
Idaho
Registered Investment Advisory firm - (2/8/2017 Terminated)
New York
Registered Investment Advisory firm - (2/8/2017 Terminated)
Washington
Registered Investment Advisory firm - (2/8/2017 Terminated)

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.
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
Arizona
(1/31/2024)
RR
California
(9/18/2017)
IAR
California
(9/18/2017)
RR
Hawaii
(3/4/2022)
RR
Idaho
(4/2/2025)
RR
Illinois
(9/19/2017)
RR
Montana
(10/28/2024)
RR
Nevada
(9/18/2017)
RR
Oregon
(9/18/2017)
RR
Texas
(9/18/2017)
IAR
Texas
(9/10/2021)
RR
Washington
(9/18/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/22/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/10/1994
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: 6/7/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RA
RUBICON ADVISORS
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP

CRD#: 174447 / SEC#: 801-109012

RIA
Registered Investment Advisory firm - (1/27/2017 Approved)
Arizona
Registered Investment Advisory firm - (2/8/2017 Terminated)
California
Registered Investment Advisory firm - (3/10/2017 Terminated)
Idaho
Registered Investment Advisory firm - (2/8/2017 Terminated)
New York
Registered Investment Advisory firm - (2/8/2017 Terminated)
Washington
Registered Investment Advisory firm - (2/8/2017 Terminated)
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Contact information

Main Address
1640 East Cypress Suite A, Redding, CA 96002
Mailing Address
Phone number
(530) 223-5357
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (14 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE (SEC) (2/9/2026)
FORM ADV 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (2/9/2026)

Regulatory assets under management

Total Number of Accounts2,219
AUM (Assets Under Management)$ 420,724,128

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

RUBICON ADVISORS

CRD#: 174447Roseville, CA 95661

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