Paul BatesCRD Number: 2196164
Current Firm: Cape Investment Advisory, Inc.
Paul Bates (CRD# 2196164) is an Investment Advisor Representative working at Cape Investment Advisory, Inc. in Atlanta, GA and has over 30 years of experience in the finance industry.
Rollins Financial Advisors, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Raymond James & Associates, Inc.
|Cape Investment Advisory, Inc.||Mcdonough, GA||Aug 2017 - Current||5|
|American Global Wealth Management, Inc.||Atlanta, GA||May 2017 - Current||5|
|Geb Corporation||Atlanta, GA||Sep 2008 - Current||14|
|Planmember Securities Corporation||Carpinteria, CA||Jan 2009 - Apr 2017||8|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1992|
|S65||NASAA Investment Advisors Law Examination||Jun 2010|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management284MILLIONS
Total Number of Accounts913ACCOUNTS
Average Account Value$310,779
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AL, AR, AZ, CA, CO, CT, FL, GA, HI, IN, LA, MA, MD, MI, MO, MS, MT, NC, ND, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, TN, TX, VA, WA, WI
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