JB
Justin D. Bates
UNITED ADVISOR GROUP
Springfield, MO 65804
Some features on this profile are disabled
CRD#: 6800001
JB
Professional summary
Justin Dale Bates, who also goes by Justin Bates, is a registered financial advisor currently at UNITED ADVISOR GROUP located in Springfield, Missouri.
Justin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Justin has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Justin 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)Strategic Financial Concepts;3089 South Greystone ct.Springfield, Mo 65804;Investment related-yes;Hours 40/160 Insurance Sales and Financial planning Start date- 09/20/2018 2) SFA LLC is legal name. dba is Strategic Financial ; Investment related: Yes; Location of the business: 3809 South Greystone Court, Suite A Springfield MO 65804 US; Responsibilities Duties: n/a; Start date with business: 2023-01-02; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 0;
CRS (Client Relationship Summary) - RIA
Click below to view Justin Dale 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®
NoneExperience
Current
February 23, 2023 - Present
UNITED ADVISOR GROUP
Office #1: 3809 S Greystone Ct Ste A, Springfield, MO 65804RIA
CRD#: 324205
Springfield, MO
Past
January 3, 2019 - February 16, 2023
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
Springfield, MO
Past
October 15, 2018 - February 16, 2023
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
SPRINGFIELD, MO
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".
UA
UNITED ADVISOR GROUP
ASCENSION FINANCIAL PARTNERS | WEALTH BY DESIGN | VERTICAL WEALTH PLANNING | UNITED ADVISOR GROUP, LLC | UNITED ADVISOR GROUP | TASIK FINANCIAL STRATEGIES | SUNSET WEALTH MANAGEMENT | STRATEGIC FINANCIAL | SORENSEN FINANCIAL | RJ BEUCLER FINANCIAL | RIGHTSELL & COMPANY | PLUM CREEK WEALTH ADVISORS | MUSTARD MONEY, LLC | MURPHY FINANCIAL GROUP | MICHIANA FINANCIAL PARTNERS, LLC DBA ZAYA WEALTH | MIAMI VALLEY FINANCIAL PARTNERS | LEGACY WEALTH MANAGEMENT, INC. | LEGACY WEALTH MANAGEMENT | KO-ADVISORS | IRONSIDE STRATEGIES | FTACEK FINANCIAL SERVICES | FRONTLINE WEALTH CARE | FLAT IRON WEALTH MANAGEMENT | DESERT GROVE INVESTMENTS | BOVE CONNOLLY TAYLOR FINANCIAL GROUP | BHT WEALTH MANAGEMENT | BENEFIT FINANCIAL SERVICES
CRD#: 324205 / SEC#: 801-127090
RIA
Registered Investment Advisory firm - (1/5/2023 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
Missouri(2/23/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
UA
UNITED ADVISOR GROUP
ASCENSION FINANCIAL PARTNERS | WEALTH BY DESIGN | VERTICAL WEALTH PLANNING | UNITED ADVISOR GROUP, LLC | UNITED ADVISOR GROUP | TASIK FINANCIAL STRATEGIES | SUNSET WEALTH MANAGEMENT | STRATEGIC FINANCIAL | SORENSEN FINANCIAL | RJ BEUCLER FINANCIAL | RIGHTSELL & COMPANY | PLUM CREEK WEALTH ADVISORS | MUSTARD MONEY, LLC | MURPHY FINANCIAL GROUP | MICHIANA FINANCIAL PARTNERS, LLC DBA ZAYA WEALTH | MIAMI VALLEY FINANCIAL PARTNERS | LEGACY WEALTH MANAGEMENT, INC. | LEGACY WEALTH MANAGEMENT | KO-ADVISORS | IRONSIDE STRATEGIES | FTACEK FINANCIAL SERVICES | FRONTLINE WEALTH CARE | FLAT IRON WEALTH MANAGEMENT | DESERT GROVE INVESTMENTS | BOVE CONNOLLY TAYLOR FINANCIAL GROUP | BHT WEALTH MANAGEMENT | BENEFIT FINANCIAL SERVICES
CRD#: 324205 / SEC#: 801-127090
RIA
Registered Investment Advisory firm - (1/5/2023 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
8170 Corporate Park Dr. Suite 300, Cincinnati, OH 45242
Mailing Address
Phone number
(888) 242-4912
Established
Firm type
Fiscal year end
# of Employees
61
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,875 |
| AUM (Assets Under Management) | $ 1,091,628,945 |
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.
Company Information
UNITED ADVISOR GROUP
CRD#: 324205Springfield, MO 65804TRUST BUT VERIFY
Monitor Justin Bates
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
