WB
Whitney R. Bates
CORNERSTONE ADVISORS ASSET MANAGEMENT
Bethlehem, PA 18018
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CRD#: 6378178
WB
Professional summary
Whitney Rose Bates, AIF® is a registered financial advisor currently at CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC located in Bethlehem, Pennsylvania and M HOLDINGS SECURITIES, INC. located in Bethlehem, Pennsylvania.
Whitney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Whitney has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
(1) M Holdings Securities, Inc.; Portland, OR; Broker Dealer; Investment-Related; Registered Representative; duties include Investment Analysis; started 11/2014; 5% of time; 5% of time during trading hours
(2) Cornerstone Institutional Investors, LLC; Bethlehem, PA; Insurance Agency; Investment-Related; Investment Analyst; started 7/2014; 5% of time; 5% of time during trading hours
(3) Cornerstone Advisors Asset Management, LLC; Bethlehem, PA; Investment Advisor; Investment-Related; Investment Analyst; started 7/2014; 90% of time; 90% of time during trading hours
(4) Cornerstone Benefits, Inc. is the parent company of Cornerstone Institutional Investors, LLC and Cornerstone Advisors Asset Management, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Whitney Rose 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
December 3, 2015 - Present
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC
Office #1: 74 West Broad Street, Suite 340, Bethlehem, PA 18018RIA
CRD#: 138638
Bethlehem, PA
Current
February 12, 2015 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 74 West Broad Street Suite 340, Bethlehem, PA 18018RIA
BD
CRD#: 43285
Bethlehem, PA
Past
December 2, 2015 - December 31, 2017
CORNERSTONE INSTITUTIONAL INVESTORS, INC.
RIA
CRD#: 44664
BETHLEHEM, PA
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".
CA
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC
CAAM ACQUISITION CO., INC. | CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC | CORNERSTONE ADVISORS ASSET MANAGEMENT INC.
CRD#: 138638 / SEC#: 801-65091
RIA
Registered Investment Advisory firm - (1/4/2006 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.RR
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
IAR
Pennsylvania(12/3/2015)
RR
Pennsylvania(2/5/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC
CAAM ACQUISITION CO., INC. | CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC | CORNERSTONE ADVISORS ASSET MANAGEMENT INC.
CRD#: 138638 / SEC#: 801-65091
RIA
Registered Investment Advisory firm - (1/4/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
74 West Broad Street, Suite 340, Bethlehem, PA 18018
Mailing Address
Phone number
(610) 694-0900
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,841 |
| AUM (Assets Under Management) | $ 8,299,028,636 |
Red Flags
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Company Information
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC
CRD#: 138638Bethlehem, PA 18018TRUST BUT VERIFY
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