Marques A. 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.
Marques Antwan Bates, who also goes by Marques Bates, was a registered financial professional .
Marques is a previously registered financial professional and started their career in finance in 2004. Marques had worked at 14 firms and has passed the 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 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
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/29/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/29/2024
Operations Professional ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
