Mark A. Bates

WEALTHQUEST

Cincinnati, OH 45241

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CRD#: 4606121

Professional summary

Mark A Bates, CFP® is a registered financial advisor currently at WEALTHQUEST CORPORATION located in Cincinnati, Ohio.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Mark has worked at 2 firms and has passed the Series 66, Series 63, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark A Bates'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

April 19, 2010 - Present

WEALTHQUEST CORPORATION

Office #1: 50 E-business Way Suite 120, Cincinnati, OH 45241

RIA

CRD#: 141473

Cincinnati, OH

Past

February 14, 2005 - April 8, 2010

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

WEST UNION, OH

Past

December 6, 2002 - April 8, 2010

FIFTH THIRD SECURITIES, INC.

CRD#: 628

WEST UNION, OH

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".

WEALTHQUEST CORPORATION

CRD#: 141473 / SEC#: 801-67079

RIA

Registered Investment Advisory firm - (8/17/2006 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

Ohio
(4/20/2010)

IAR

Texas
(11/29/2011)

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 66

Date: 11/3/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/18/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/16/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/5/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WEALTHQUEST CORPORATION

CRD#: 141473 / SEC#: 801-67079

RIA

Registered Investment Advisory firm - (8/17/2006 Approved)

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Contact information

Main Address

50 E-business Way Suite 120, Cincinnati, OH 45241

Mailing Address

50 E-business Way Suite 120, Cincinnati, OH 45241

Phone number

(513) 530-9700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTHQUEST CORPORATION FORM ADV PART 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts	5,194
AUM (Assets Under Management)	$ 1,932,422,881

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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Advisor Monitoring

Firm Stability Insights

Mark A. Bates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark A Bates's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

Primary Firm SEC Registration

WEALTHQUEST CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2004

Series 63

Date: 12/18/2002

Series 7

Date: 12/16/2003

Series 6

Date: 12/5/2002

Current Firm

WEALTHQUEST CORPORATION

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHQUEST CORPORATION

TRUST BUT VERIFY

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