Christopher 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.

Christopher Bates was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

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.

1. 3/2/2017 - GOLDEN STATE WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 3/6/2017 - GOLDEN STATE WEALTH MANAGEMENT, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 3/1/2017 - 160 Hours Per Month/4.5 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in March 2017. I expect to spend approximately 160 on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 7/24/2017 - Sonoma Financial Advisory, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 06/06/2017- 85 Hours Per Month/6 Hour During Securities Trading. 4. 1/30/2020 - Insurance Brokerage - Investment Related - 5142 Clareton Dr Suite 230, Agoura Hills, CA 91301 - Non-Variable Insurance - Started 01/23/2020 - 5 Hours Per Month/0 Hours During Securities Trading. 5. 3/25/2021 - Christopher Bates dba Sonoma Financial Advisory, LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Start Date: 4/1/2021 - 100 Hours Per Month/100 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary)

January 20, 2000 - February 5, 2003

CAL FED INVESTMENTS

BD

CRD#: 19631

SACRAMENTO, CA

Past

October 13, 1997 - January 14, 2000

WAMU INVESTMENTS, INC.

BD

CRD#: 599

IRVINE, CA

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".

GS

GOLDEN STATE WEALTH MANAGEMENT, LLC

CRD#: 167995 / SEC#: 801-107445

RIA

Registered Investment Advisory firm - (3/21/2016 Approved)

California

Registered Investment Advisory firm - (4/28/2016 Terminated)

Washington

Registered Investment Advisory firm - (4/29/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/20/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 8/7/1997

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: 7/23/1997

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 1/29/2004

General Securities Principal Examination

Current Firm

GS

GOLDEN STATE WEALTH MANAGEMENT, LLC

CRD#: 167995 / SEC#: 801-107445

RIA

Registered Investment Advisory firm - (3/21/2016 Approved)

California

Registered Investment Advisory firm - (4/28/2016 Terminated)

Washington

Registered Investment Advisory firm - (4/29/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

201 E. Sandpointe Avenue #460, South Coast Metro, CA 92707

Mailing Address

Phone number

(866) 273-1563

Established

Firm type

Fiscal year end

# of Employees

47

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GSWM 2A FIRM BROCHURE (5/12/2025)

GOLDEN STATE WEALTH MANAGEMENT WRAP FEE PROGRAM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,434
AUM (Assets Under Management)	$ 1,835,285,996

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.

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Advisor Monitoring

Firm Stability Insights

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

CITICORP INVESTMENT SERVICES

CAL FED INVESTMENTS

WAMU INVESTMENTS, INC.

Primary Firm SEC Registration

GOLDEN STATE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/2003

Series 63

Date: 8/7/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/23/1997

Series 24

Date: 1/29/2004

Current Firm

GOLDEN STATE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOLDEN STATE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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