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Carol Anne Bates
CAROL ANNE BATES, Carol Bates, CAROL ANNE ERICKSON, Carol Erickson
CRD#: 5189692
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1230 Rosecrans Ave
Ste 100
Manhattan Bch, CA 90266
Ste 100
Manhattan Bch, CA 90266
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
Arizona 7/24/2024
B
Nevada 3/22/2024
B
California 10/22/2019
B
New Jersey 3/22/2024
IA
California 10/2/2024
B
North Carolina 3/22/2024
B
Florida 3/22/2024
B
Pennsylvania 3/22/2024
B
Hawaii 3/22/2024
B
Texas 3/22/2024
B
Illinois 3/22/2024
B
Utah 2/9/2024
B
Massachusetts 3/22/2024
B
Virginia 3/22/2024
B
Nebraska 11/22/2024
B
Washington 3/22/2024
SRO Registrations
B
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IA
Registered with this firm since 10/2/2024
B
Registered with this firm since 10/22/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/12/2016 - 09/23/2019 | Avila Beach, CA | |
IA | 12/10/2012 - 09/20/2019 | AVILA BEACH, CA | |
B | 11/12/2012 - 01/04/2016 | AVILA BEACH, CA | |
IA | 03/23/2009 - 11/15/2012 | SAN LUIS OBISPO, CA | |
B | 03/23/2009 - 11/15/2012 | SAN LUIS OBISPO, CA | |
IA | 11/25/2008 - 04/02/2009 | CARMEL, CA | |
B | 06/13/2008 - 04/02/2009 | CARMEL, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.