Steven C. Bates

ADVOCATES WEALTH PLANNING

Houston, TX 77024

Some features on this profile are disabled

CRD#: 2979027

Professional summary

Steven Charles Bates JR, who also goes by Chuck Bates Jr, Steven Charles Bates, is a registered financial advisor currently at ADVOCATES WEALTH PLANNING located in Houston, Texas.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chuck Bates Jr | Steven Charles Bates

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. Chuck Bates Consulting; not investment-related; home office; consulting; owner; 1/1/2020 start date; 0 hours devoted; 0 hours during trading hours; occasional business consulting 2. College Aid Pro; not investment-related;10 Federal St. #410, Salem, MA 01970; higher education consulting ; 1099 employee; College Funding Expert; 8/2022; >5 hours/month 0 hours during trading hours; choosing a college, cost analysis, aid, applications, appeals

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Charles Bates JR'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

July 14, 2023 - Present

ADVOCATES WEALTH PLANNING

Office #1: 920 Memorial City Way Suite 250, Houston, TX 77024

RIA

CRD#: 138612

Houston, TX

Past

August 18, 2020 - June 20, 2023

STEGENT EQUITY ADVISORS INC.

RIA

CRD#: 114518

HOUSTON, TX

Past

August 26, 2010 - February 19, 2020

FORESIDE FUND SERVICES, LLC

CRD#: 46106

HOUSTON, TX

Past

May 5, 2004 - December 31, 2008

FORESIDE FUND SERVICES, LLC

CRD#: 46106

HOUSTON, TX

Past

August 15, 2001 - March 11, 2004

CONOR PETERSON LLC

CRD#: 111343

IRVING, TX

Past

July 21, 1999 - August 15, 2001

J.P. SECURITIES, INC.

CRD#: 36559

BELLEVUE, NE

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".

ADVOCATES WEALTH PLANNING

ADVOCATES WEALTH PLANNING | YOUR ADVOCATES, LTD., LLP | THE ADVOCATES | CYPRESS ADVISORY SERVICES LTD., LLP

CRD#: 138612 / SEC#: 801-65283

RIA

Registered Investment Advisory firm - (2/1/2006 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(7/14/2023)

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: 8/17/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/6/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 3/20/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/20/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/1999

General Securities Principal Examination

Current Firm

ADVOCATES WEALTH PLANNING

ADVOCATES WEALTH PLANNING | YOUR ADVOCATES, LTD., LLP | THE ADVOCATES | CYPRESS ADVISORY SERVICES LTD., LLP

CRD#: 138612 / SEC#: 801-65283

RIA

Registered Investment Advisory firm - (2/1/2006 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

920 Memorial City Way Suite 250, Houston, TX 77024

Mailing Address

Phone number

(713) 827-8014

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II (2/4/2025)

Regulatory assets under management

Total Number of Accounts	1,109
AUM (Assets Under Management)	$ 374,520,801

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2024	Cover Page	Report
10/25/2023	Cover Page	Report
07/29/2022	Cover Page	Report

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.

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven C. Bates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Charles Bates JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEGENT EQUITY ADVISORS INC.

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC

CONOR PETERSON LLC

J.P. SECURITIES, INC.

Primary Firm SEC Registration

ADVOCATES WEALTH PLANNING

State Registrations and Notice Filings

Exams

Series 65

Date: 8/17/2020

Series 63

Date: 8/12/1999

SIE

Date: 10/1/2018

Series 3

Date: 2/6/2003

Series 55

Date: 3/20/2002

Series 7

Date: 7/20/1999

Series 24

Date: 10/8/1999

Current Firm

ADVOCATES WEALTH PLANNING

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ADVOCATES WEALTH PLANNING

TRUST BUT VERIFY

Similar Advisors