Daniel Bates
Professional Summary
Daniel Bates, who also goes by Daniel Bates, is a registered financial advisor currently at CLEARWATER ADVISORS, LLC located in Boise, Idaho. Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Daniel has worked at 2 firms and has passed the Series 65, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Daniel Bates
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
10 years in the financial services industry
Current & Past Employments
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Current Firm
CLEARWATER ADVISORS, LLC | CLEARWATER SECURITIES, LLC
Contact Information
Main Address
101 S. Capitol Blvd Suite 1201, Boise, ID 83702Phone Number
(208) 433-1222# of Employees
9SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
84AUM (Assets Under Management)
$4,650,566,101Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
CLEARWATER ADVISORS, LLC | CLEARWATER SECURITIES, LLC
State Registrations and Notice Filings
(5/15/2018)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Feb 2016About the Series 79 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel Bates's CRS (Customer Relationship Summary).
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