John L. 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.
John Leroy Bates, who also goes by John Leroy Bates Mr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2001. John had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2014 - February 6, 2015
PRIVEX SECURITIES, INC.
September 28, 2009 - December 10, 2013
AMERIVET SECURITIES, INC.
March 13, 2006 - May 11, 2009
PACIFIC RIDGE CAPITAL, LLC
March 1, 2004 - April 15, 2004
MORGAN STANLEY DW INC.
December 19, 2003 - April 15, 2004
MORGAN STANLEY DW INC.
December 13, 2001 - March 15, 2004
MCGLADREY CAPITAL MARKETS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
PRIVEX SECURITIES, INC.
CRD#: 165361 / SEC#: , 8-69156
Contact information
Documents
Direct owners and executive officers
Red Flags
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