Paul Bates, financial advisor Atlanta GA

Paul Bates

CRD 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.

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Company Name Location Dates Years
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
Disclosure Information

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
Contact Info for Paul J. Bates
Phone Number: 678-583-1120
Registered State(s):
  • GA
By the Numbers
  • Total Assets Under Management
    284
    MILLIONS
  • Total Number of Accounts
    913
    ACCOUNTS
  • Average Account Value
    $310,779
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • 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
Types of Clients
Registered States

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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