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Frederick S. Bates

FORESIDE FINANCIAL SERVICES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 3226235
FB

Professional summary

Frederick Sidney Bates, who also goes by Frederick Bates, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Miami, Florida.

Frederick is registered as a RR (Registered Representative) and started their career in finance in 1999. Frederick has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frederick 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frederick Sidney 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®
None

Experience

Current

July 31, 2019 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 1200 Brickell Ave 17th Floor, Miami, FL, 33131
BD
CRD#: 148477
Miami, FL
Past

June 3, 1999 - August 16, 2004

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/2/2025)
RR
California
(9/24/2019)
RR
Delaware
(9/24/2019)
RR
District of Columbia
(4/27/2021)
RR
Florida
(9/24/2019)
RR
Illinois
(4/27/2021)
RR
Massachusetts
(4/27/2021)
RR
New York
(9/24/2019)
RR
North Carolina
(1/2/2025)
RR
Puerto Rico
(9/24/2019)
RR
Texas
(9/24/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/31/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/4/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/2/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC

CRD#: 148477 / SEC#: , 8-68027

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCDIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER1137783
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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.

Company Information

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477Miami, FL 33131

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