Geoffrey L. Bates

BATES WEALTH MANAGEMENT

Los Angeles, CA

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CRD#: 3063336

Professional summary

Geoffrey Luke Bates, CFP® is a registered financial advisor currently at BATES WEALTH MANAGEMENT, LLC located in Los Angeles, California.

Geoffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Geoffrey has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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)BATES INSURANCE SERVICES, 152 N. HOBART BLVD, LOS ANGELES, CA, OWNER/INSURANCE AGENT FOR LIFE & HEALTH INSURANCE SALES, INV-RELATED, START 3/2011, 6 HRS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geoffrey Luke Bates's 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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

September 28, 2016 - Present

BATES WEALTH MANAGEMENT, LLC

RIA

CRD#: 284892

Los Angeles, CA

Past

May 13, 2016 - September 28, 2016

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

LOS ANGELES, CA

Past

May 13, 2016 - September 28, 2016

SIGNATOR INVESTORS, INC.

CRD#: 468

LOS ANGELES, CA

Past

September 4, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

LOS ANGELES, CA

Past

September 4, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

LOS ANGELES, CA

Past

May 21, 2007 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

LOS ANGELES, CA

Past

July 20, 2006 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

May 16, 2002 - May 24, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

August 31, 2000 - May 22, 2002

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Past

September 21, 1998 - March 13, 2000

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

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

California
(9/28/2016)

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: 3/15/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/28/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/17/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BATES WEALTH MANAGEMENT, LLC

CRD#: 284892 / SEC#:

California

Registered Investment Advisory firm - (9/28/2016 Approved)

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Contact information

Main Address

Los Angeles, CA

Mailing Address

Phone number

(213) 446-9914

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	38
AUM (Assets Under Management)	$ 12,458,713

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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Firm Stability Insights

Geoffrey L. Bates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geoffrey Luke Bates's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA SECURITIES SALES CORPORATION

COREBRIDGE CAPITAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/15/2007

Series 63

Date: 10/20/2000

SIE

Date: 9/28/2016

Series 7

Date: 10/19/1999

Series 6

Date: 9/17/1998

Current Firm

BATES WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BATES WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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