Thomas Bates, financial advisor Columbus OH
96 score

Thomas Bates

CRD Number: 1037294
Current Firm: Cambridge Investment Research Advisors, Inc.

Thomas Bates (CRD# 1037294) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in Columbus, OH and has over 24 years of experience in the finance industry. Thomas Bates has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Cambridge Investment Research, Inc. Fairfield, IA Oct 2011 - Current 5
Cambridge Investment Research Advisors, Inc. Fairfield, IA Oct 2011 - Current 5
Woodbury Financial Services Columbus, OH May 2006 - Oct 2011 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1991
S65 NASAA Investment Advisors Law Examination Jul 2001
Contact Info for Thomas R. Bates
Phone Number: 641-472-5100
Firm Website: http://www.cir2.com
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    25,187
    MILLIONS
  • Total Number of Accounts
    152,412
    ACCOUNTS
  • Average Account Value
    $165,257
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Market timing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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