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Matthew D. Bates
FOUR QUADRANT WEALTH ADVISORS
Carmel, IN 46032
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CRD#: 4916277
MB
Professional summary
Matthew Dwayne Bates, CFP® is a registered financial advisor currently at FOUR QUADRANT WEALTH ADVISORS, INC. located in Carmel, Indiana.
Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Matthew has worked at 8 firms and has passed the Series 66, Series 6TO, SIE, Series 7, Series 10 and Series 9 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.
SALES OF INVESTMENT-RELATED PRODUCTS, PART-TIME OR FULL TIME, FOR COMPANIES AFFILIATED WITH PFS INVESTMENTS INC. I MAY ALSO RECEIVE NON-INVESTMENT RELATED COMPENSATION FROM PRIMERICA MORTGAGE, LLC FOR THE SALE OF LOAN PRODUCTS AND/OR PRIMERICA CLIENT SERVICES, INC. (A CO-LOCATED AFFILIATE OF PFS INVESTMENTS INC.) FOR PART-TIME REFERRALS OF HOME SECURITY AND AUTOMATION PRODUCTS, AS WELL AS OTHER HOME RELATED SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Dwayne 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®
Experience
Current
September 22, 2024 - Present
FOUR QUADRANT WEALTH ADVISORS, INC.
Office #1: 11939 N Meridian St Ste 225, Carmel, IN 46032RIA
CRD#: 130753
Carmel, IN
Past
May 9, 2024 - September 23, 2024
PFS INVESTMENTS INC.
RIA
CRD#: 10111
INDIANAPOLIS, IN
Past
May 9, 2024 - September 23, 2024
PFS INVESTMENTS INC.
BD
CRD#: 10111
INDIANAPOLIS, IN
Past
May 9, 2016 - May 13, 2022
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
Noblesville, IN
Past
May 25, 2015 - May 13, 2022
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
INDIANAPOLIS, IN
Past
January 3, 2012 - March 10, 2015
SCHWAB WEALTH ADVISORY, INC.
RIA
CRD#: 159035
INDIANAPOLIS, IN
Past
January 4, 2006 - December 31, 2011
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
INDIANAPOLIS, IN
Past
January 4, 2006 - March 10, 2015
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
INDIANAPOLIS, IN
Past
May 10, 2005 - July 6, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
INDIANAPOLIS, IN
Past
April 26, 2005 - July 6, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 26, 2005 - July 6, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
FQ
FOUR QUADRANT WEALTH ADVISORS, INC.
FOUR QUADRANT ADVISORY | FOUR QUADRANTS | FOUR QUADRANT WEALTH ADVISORS, INC. | FOUR QUADRANT WEALTH ADVISORS | FOUR QUADRANT ADVISORY COMPANIES
CRD#: 130753 / SEC#: 801-126014
RIA
Registered Investment Advisory firm - (7/1/2022 Approved)Florida
Registered Investment Advisory firm - (8/25/2022 Terminated)Indiana
Registered Investment Advisory firm - (8/25/2022 Terminated)Louisiana
Registered Investment Advisory firm - (8/30/2022 Terminated)Michigan
Registered Investment Advisory firm - (9/1/2022 Terminated)Texas
Registered Investment Advisory firm - (8/25/2022 Terminated)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
Indiana(9/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FQ
FOUR QUADRANT WEALTH ADVISORS, INC.
FOUR QUADRANT ADVISORY | FOUR QUADRANTS | FOUR QUADRANT WEALTH ADVISORS, INC. | FOUR QUADRANT WEALTH ADVISORS | FOUR QUADRANT ADVISORY COMPANIES
CRD#: 130753 / SEC#: 801-126014
RIA
Registered Investment Advisory firm - (7/1/2022 Approved)Florida
Registered Investment Advisory firm - (8/25/2022 Terminated)Indiana
Registered Investment Advisory firm - (8/25/2022 Terminated)Louisiana
Registered Investment Advisory firm - (8/30/2022 Terminated)Michigan
Registered Investment Advisory firm - (9/1/2022 Terminated)Texas
Registered Investment Advisory firm - (8/25/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11939 N Meridian St Ste 225, Carmel, IN 46032
Mailing Address
Phone number
(877) 441-5144
Established
Firm type
Fiscal year end
# of Employees
34
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 484 |
| AUM (Assets Under Management) | $ 171,842,155 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
