Mark A. Bates
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.
Mark Andrew Bates was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2008 - October 27, 2017
SENTINEL FINANCIAL SERVICES COMPANY
June 14, 2006 - December 31, 2024
EQUITY SERVICES, INC.
August 27, 2004 - May 26, 2006
IDS LIFE INSURANCE COMPANY
August 27, 2004 - May 26, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
March 24, 2004 - August 12, 2004
STATE FARM VP MANAGEMENT CORP.
September 6, 1996 - March 11, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
August 5, 1996 - March 11, 2004
IDS LIFE INSURANCE COMPANY
August 5, 1996 - March 11, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SENTINEL FINANCIAL SERVICES COMPANY
CRD#: 31175 / SEC#: , 8-45393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENTINEL ASSET MANAGEMENT INC. | GENERAL PARTNER | |
| SENTINEL ADMINISTRATIVE SERVICES, INC | GENERAL PARTNER | |
| TEESE, GREGORY DWIGHT | VICE PRESIDENT, COMPLIANCE & CHIEF COMPLIANCE OFFICER | 2135269 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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