BB
Ben G. Bates
MISSIONSQUARE RETIREMENT
Phoenix, AZ
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CRD#: 4677714
BB
Professional summary
Ben G Bates is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Phoenix, Arizona and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.
Ben is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Ben has worked at 7 firms and has passed the Series 63, Series 66, 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) Name: Boshi Boys, LLC. Non-investment related. Address: 1359 West Enfield Way, Chandler, AZ 85286. Nature of business: Boshi Boys is a distributor for Shaklee nutritional and cleaning products. Position: 25 percent owner. Start date: 06/02/2017. Number of hours/month devoted to the other business: zero. Number of hours devoted to other business during security trading hour: zero. Duties: None. | (2) Name: Amant Made, LLC. Non-investment related. Address: 2138 E Myrtle Ave, Phoenix, AZ, 85020. Nature of business: Rental property. Position: 50 percent owner of two properties. Start date: 2/5/2021. Number of hours/month devoted to the other business: zero. Number of hours devoted to other business during security trading hours: zero. Duties: None. | (3) MissionSquare Retirement. Investment related. Nature of Business: MissionSquare is a Delaware non-profit corporation established in 1972 to assist state and local governments and their agencies and instrumentalities ("plan sponsors") in the establishment and maintenance of deferred compensation and qualified retirement plans for their public sector employees. Address: 777 N. Capitol Street, NE, Washington, DC 20002. Position: Relationship Management Leader. Start Date: 7/6/2021. Hours per month devoted to other business 160 (~8hr/day); during securities trading hours (9:30 am-4:00 pm EST): 8.
CRS (Client Relationship Summary) - RIA
Click below to view Ben G 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®
NoneExperience
Current
September 21, 2021 - Present
MISSIONSQUARE RETIREMENT
RIA
CRD#: 108783
Phoenix, AZ
Current
October 8, 2021 - Present
MISSIONSQUARE INVESTMENT SERVICES
Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240BD
CRD#: 23189
Washington, DC
Past
August 22, 2018 - June 10, 2021
LEAFHOUSE FINANCIAL ADVISORS, LLC
RIA
CRD#: 149694
PHOENIX, AZ
Past
August 8, 2014 - July 17, 2018
NATIONWIDE INVESTMENT ADVISORS, LLC
RIA
CRD#: 142373
COLUMBUS, OH
Past
July 23, 2014 - July 17, 2018
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
October 19, 2007 - May 7, 2014
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
PHOENIX, AZ
Past
September 11, 2007 - May 7, 2014
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
PHOENIX, AZ
Past
August 26, 2003 - August 15, 2007
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
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".
MR
MISSIONSQUARE RETIREMENT
ICMA RETIREMENT CORP | MISSIONSQUARE RETIREMENT | INTERNATIONAL CITY MGMT ASSOCIATION RETIREMEN | INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION | ICMA-RC | ICMA RETIREMENT CORPORATION
CRD#: 108783 / SEC#: 801-18273
RIA
Registered Investment Advisory firm - (1/19/1983 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.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
Alaska(12/23/2024)
IAR
Arizona(9/21/2021)
RR
Arizona(5/12/2022)
RR
Arkansas(9/25/2025)
RR
California(12/20/2024)
RR
Colorado(5/13/2022)
RR
Hawaii(12/23/2024)
RR
Idaho(5/12/2022)
RR
Iowa(9/11/2025)
RR
Kansas(5/13/2022)
RR
Louisiana(5/16/2022)
RR
Minnesota(9/12/2025)
RR
Missouri(9/15/2025)
RR
Montana(5/12/2022)
RR
Nebraska(5/12/2022)
RR
Nevada(1/2/2025)
RR
New Mexico(5/16/2022)
RR
North Dakota(5/16/2022)
RR
Oklahoma(5/16/2022)
RR
Oregon(12/22/2024)
RR
South Dakota(6/2/2022)
RR
Texas(5/13/2022)
RR
Utah(5/13/2022)
RR
Washington(12/20/2024)
RR
Wyoming(5/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MR
MISSIONSQUARE RETIREMENT
ICMA RETIREMENT CORP | MISSIONSQUARE RETIREMENT | INTERNATIONAL CITY MGMT ASSOCIATION RETIREMEN | INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION | ICMA-RC | ICMA RETIREMENT CORPORATION
CRD#: 108783 / SEC#: 801-18273
RIA
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Contact information
Main Address
777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240
Mailing Address
Phone number
(202) 962-4600
Established
Firm type
Fiscal year end
# of Employees
599
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
