James 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.
James A Bates, who also goes by James Albert Bates Jr, James Albert Bates, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2012 - April 9, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
June 12, 2012 - July 17, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
June 11, 2012 - July 17, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
September 9, 2010 - June 1, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 31, 2010 - June 1, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2005 - February 4, 2009
BNY MELLON SECURITIES CORPORATION
September 6, 2002 - August 4, 2005
BNY MELLON SECURITIES CORPORATION
March 1, 2002 - February 4, 2009
BNY MELLON SECURITIES CORPORATION
July 27, 2000 - February 6, 2009
FOUNDERS ASSET MANAGEMENT LLC
April 1, 1998 - March 11, 2002
FOUNDERS ASSET MANAGEMENT LLC
February 5, 1998 - April 1, 1998
FOUNDERS ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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