Ryan C. Bates

AE WEALTH MANAGEMENT

Lakeland, FL 33801

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CRD#: 6347290

Professional summary

Ryan Conrad Bates, who also goes by Ryan C Bates, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Lakeland, Florida.

Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Ryan has worked at 8 firms and has passed the Series 65, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ryan C Bates

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.) Ryan C Bates, LLC; Yes Investment Related; 120 E. Pine St. Ste. 1, Lakeland FL 33813, United States; Insurance Sales; Investment Advisor; START DATE: 07/2024; Approx. 100 hours a month; Approx. 100 hours during trading; Insurance Sales and Services. 2.)AFEA-AMERICAN FINANCIAL EDUCATION ALLIANCE POSITION: Chapter President Polk County, FL NATURE: AFEA is a national, 501(c)(3) non-profit organization. Offers financial education to the general public, taught by qualified and trained instructors. These instructors are also known as Chapter Presidents, and some chapters have additional members called Sub-Agents or Chapter Directors. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 02/02/2023 ADDRESS: 349 Copperfield Blvd. NE, STE L #106, Concord NC 28025, United States DESCRIPTION: I will be holding education workshops utilizing AFEA-approved and compliant material.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Conrad Bates's CRS (Customer Relationship Summary).

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

March 10, 2021 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 120 East Pine Street, Lakeland, FL 33801

RIA

CRD#: 282580

Lakeland, FL

Past

December 13, 2022 - May 14, 2024

SAXONY SECURITIES, INC.

CRD#: 115547

Tampa, FL

Past

December 5, 2018 - March 5, 2021

KALOS MANAGEMENT

RIA

CRD#: 133025

Lake Wales, FL

Past

September 27, 2018 - February 1, 2021

KALOS CAPITAL, INC.

CRD#: 44337

Lake Wales, FL

Past

July 14, 2015 - October 4, 2018

LINEWEAVER WEALTH ADVISORS

RIA

CRD#: 173310

LAKE WALES, FL

Past

April 7, 2015 - September 28, 2018

TRIAD ADVISORS LLC

CRD#: 25803

Lake Wales, FL

Past

November 3, 2014 - March 5, 2015

SPC

RIA

CRD#: 110692

LAKE WALES, FL

Past

June 10, 2014 - March 5, 2015

SIGMA FINANCIAL CORPORATION

CRD#: 14303

LAKE WALES, FL

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".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 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.

Highlighted states indicate IAR registrations

IAR

Florida
(3/10/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/22/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/26/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/10/2014

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	111,059
AUM (Assets Under Management)	$ 37,525,706,084

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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Firm Stability Insights

Ryan C. Bates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Conrad Bates's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAXONY SECURITIES, INC.

KALOS MANAGEMENT

KALOS CAPITAL, INC.

LINEWEAVER WEALTH ADVISORS

TRIAD ADVISORS LLC

SPC

SIGMA FINANCIAL CORPORATION

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2014

Series 7TO

Date: 9/26/2019

SIE

Date: 10/1/2018

Series 6

Date: 6/10/2014

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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