Ronald W. Bates
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald Wilson Bates, who also goes by Ron Bates, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1978. Ronald had worked at 7 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2012 - December 23, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 16, 2012 - December 23, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 5, 2008 - August 28, 2012
WOODBURY FINANCIAL SERVICES, INC.
November 1, 2006 - August 28, 2012
WOODBURY FINANCIAL SERVICES, INC.
November 1, 2004 - November 9, 2006
TOWER SQUARE SECURITIES, INC.
September 23, 1996 - November 12, 2004
NEW ENGLAND SECURITIES
October 20, 1980 - September 4, 1996
EQUITABLE ADVISORS, LLC
July 21, 1978 - September 4, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/15/1978
Registered Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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