Nicholas J. Bates

SYMETRA SECURITIES

Bellevue, WA 98004-5153

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CRD#: 4937478

Professional summary

Nicholas John Bates is a registered financial professional currently at SYMETRA SECURITIES, INC. located in Bellevue, Washington.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2006. Nicholas has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Strategic Education Tech POSITION: VP of sales and reruiting of FMO. NATURE: Insurance only not investments. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/15/2019 ADDRESS: 2041 E. Square Lake Rd, Troy, MI 48085 DESCRIPTION: Working with fixed insurance sales to insurance agents.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas John 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®

None

Experience

Current

November 29, 2022 - Present

SYMETRA SECURITIES, INC.

Office #1: 777 108th Avenue Ne Suite 1200, Bellevue, WA 98004-5153

CRD#: 739

Bellevue, WA

Past

April 6, 2020 - December 5, 2022

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

April 6, 2020 - December 5, 2022

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Troy, MI

Past

January 9, 2017 - January 10, 2019

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

ANN ARBOR, MI

Past

August 1, 2008 - January 10, 2019

QUESTAR CAPITAL CORPORATION

CRD#: 43100

ANN ARBOR, MI

Past

August 28, 2006 - July 29, 2008

LPL FINANCIAL LLC

CRD#: 6413

PERRYSBURG, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Michigan
(11/29/2022)

Washington
(11/29/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 1/5/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/25/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/25/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/29/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SYMETRA SECURITIES, INC.

SAFECO SECURITIES, INC. | SYMETRA SECURITIES, INC.

CRD#: 739 / SEC#: , 8-13470

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

777 108th Ave Ne, Suite 1200, Bellevue, WA 98004-5135

Mailing Address

777 108th Ave Ne, Suite 1200, Bellevue, WA 98004-5135

Phone number

(800) 796-3872

Established

Washington since 08/24/1967

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SYMETRA FINANCIAL CORPORATION	OWNER
BALKOVETZ, CHANTEL LEE	DIRECTOR	2490011
DIMITRI, DAVID MICHAEL	SECRETARY	4806001
DOW, SHANEN LYNN	ASSISTANT TREASURER	7676848
ELLIS, COURTNEY LYNN	CHIEF OPERATING OFFICER	5460601
FARRELL, ANDREW MICHAEL	PRESIDENT, DIRECTOR	4463467
HANSON, COLLEEN	ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL	7271134
MURPHY, COLLEEN MARY	DIRECTOR	4842602
NORBERG, KRISTIN ROUST	VICE PRESIDENT	7033021
OBERDECK, ANDREW A	ASSISTANT SECRETARY	8015633
OTTO, JOSEPHINE R	ASSISTANT SECRETARY	8015301
RABIN, KEVIN WILLIAM	DIRECTOR	7033042
SANDERS, BARBARA ANN	CHIEF COMPLIANCE OFFICER	2206030

Disclosures

Regulatory Event

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

Nicholas J. Bates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas John Bates's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/5/2017

Series 63

Date: 11/25/2008

SIE

Date: 10/1/2018

Series 7

Date: 8/25/2006

Series 24

Date: 9/29/2008

FINRA

Current Firm

SYMETRA SECURITIES, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SYMETRA SECURITIES, INC.

TRUST BUT VERIFY

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