TB
Thomas P. Bates
OAKWATER FINANCIAL
Ruston, LA 71270
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CRD#: 7694484
TB
Professional summary
Thomas Parrish Bates is a registered financial advisor currently at OAKWATER FINANCIAL located in Ruston, Louisiana.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Thomas has worked at 1 firm and has passed the Series 65 and SIE 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.
Thomas Bates is a CPA and is a partner in a CPA firm that provides tax and accounting services to individuals and businesses. The name of the firm is Oakwater Financial Group, LLC. The other partner in the firm is Thomas' father, Steven Bates, who is a CPA as well. Steven is also a registered investment rep with another broker dealer. Thomas Bates also owns Oakwater Financial LLC. This entity provides contract CFO services and management consulting services to a small number of businesses. Oakwater Properties LLC; Partner; Investment related: Yes; 107 W Alabama Ave Ruston LA 71270 United States; Oakwater Properties, LLC is a partnership formed by Thomas Bates that seeks to invest in residential real estate in Louisiana and Texas.; Duties: Thomas is responsible for accounting, finance and deal source of the business.; 2023-05-19; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 10;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Parrish 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
March 3, 2023 - Present
OAKWATER FINANCIAL
Office #1: 107 W Alabama Ave Ste 2, Ruston, LA 71270RIA
CRD#: 325181
Ruston, LA
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
Louisiana(3/3/2023)
IAR
Texas(3/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
OF
OAKWATER FINANCIAL
OAKWATER FINANCIAL | OAKWATER FINANCIAL ADVISORS LLC
CRD#: 325181 / SEC#:
Louisiana
Registered Investment Advisory firm - (3/3/2023 Approved)Texas
Registered Investment Advisory firm - (3/16/2023 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
107 W Alabama Ave Ste 2, Ruston, LA 71270
Mailing Address
Po Box 13322, Ruston, LA 71273
Phone number
(318) 702-3035
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 70 |
| AUM (Assets Under Management) | $ 4,338,509 |
Red Flags
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Company Information
OAKWATER FINANCIAL
CRD#: 325181Ruston, LA 71270TRUST BUT VERIFY
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