• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
BRIAN PAUL BATES
CRD#: 1335752
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3650 ALLENTOWN RD
LIMA, OH 45807
Registration History
1985199019952000200520102015202020252 FIRMS2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1993 - 2008 (15 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1989 - 1993 (3 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1985 - 1989 (4 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2001 - 2008 (6 years)
License(s)

State Registrations

B
Alaska 1/1/2008

B
Michigan 1/1/2008

B
Arizona 1/1/2008

B
North Carolina 1/1/2008

B
California 1/1/2008

B
Ohio 1/1/2008

B
Colorado 1/1/2008

IA
Ohio 1/1/2008

B
Delaware 7/27/2021

B
South Carolina 1/1/2008

B
Florida 1/1/2008

B
Tennessee 1/1/2008

B
Georgia 1/2/2013

B
Texas 8/28/2015

B
Illinois 1/1/2008

IA
Texas 8/31/2015

B
Indiana 1/1/2008

B
Utah 1/29/2018

B
Iowa 1/1/2008

B
Virginia 1/1/2008

B
Kentucky 7/5/2011

B
Wisconsin 2/19/2020

B
Louisiana 1/16/2024

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
3650 ALLENTOWN RD, LIMA, OH 45807
LIMA, OH
Registered with this firm since 1/1/2008

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3650 ALLENTOWN RD, LIMA, OH 45807
LIMA, OH
Registered with this firm since 1/1/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/11/1993 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LIMA, OH
IA
05/10/2001 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LIMA, OH
B
09/15/1989 - 01/19/1993 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
02/21/1985 - 09/15/1989 THOMSON MCKINNON SECURITIES INC. (CRD#:829) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.