Marques A. Bates
Professional summary
Marques Antwan Bates, who also goes by Marques Bates, is a registered financial professional currently at BANKERS LIFE SECURITIES, INC. located in Chicago, Illinois.
Marques is registered as a RR (Registered Representative) and started their career in finance in 2004. Marques has worked at 15 firms and has passed the Series 63, Series 66, Series 7TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Marques Antwan Bates's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 26, 2026 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 303 E Wacker Drive Ste 500, Chicago, IL 60601February 7, 2025 - January 2, 2026
LPL FINANCIAL LLC
November 13, 2024 - January 2, 2026
LPL ENTERPRISE, LLC
July 17, 2020 - September 1, 2021
VALIC FINANCIAL ADVISORS, INC.
July 15, 2020 - September 1, 2021
VALIC FINANCIAL ADVISORS, INC.
October 10, 2018 - August 21, 2019
FIRST ALLIED SECURITIES, INC.
May 16, 2016 - November 9, 2016
INVESTORS CAPITAL CORP.
March 28, 2016 - August 21, 2019
SUMMIT BROKERAGE SERVICES, INC.
May 21, 2015 - August 21, 2019
CETERA WEALTH SERVICES, LLC
May 15, 2015 - August 21, 2019
CETERA INVESTMENT SERVICES LLC
May 15, 2015 - August 21, 2019
CETERA FINANCIAL SPECIALISTS LLC
May 15, 2015 - August 21, 2019
CETERA ADVISORS LLC
May 15, 2015 - August 21, 2019
CETERA WEALTH SERVICES, LLC
October 26, 2007 - October 27, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
December 19, 2006 - October 27, 2015
J.P. TURNER & COMPANY, L.L.C.
December 9, 2004 - November 16, 2006
PRUCO SECURITIES, LLC.
October 19, 2004 - December 10, 2004
WADDELL & REED
September 20, 2004 - December 10, 2004
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/26/2026)
Exams
Series 7TO
Date: 3/29/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/29/2024
Operations Professional ExaminationFINRA
Current Firm
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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