Brentley Jerome Bates
Professional Summary
Brentley Jerome Bates, who also goes by Brent J Bates, was a registered financial advisor. Brentley was a previously registered financial professional and started their career in finance 2001 - 2012. Brentley had worked at 1 firm and has passed the Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brent J Bates
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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.
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Years of Experience
25 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.
Contact Information
Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173Phone Number
(713) 214-1919Established
Delaware since 11/18/1976Firm Type
CorporationFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | — |
| BENEDETTO, ROCCO VITO | DIRECTOR | 2583209 |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
Regulatory Event
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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