Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • 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.
< Back to Results
Detailed Report
Joseph Robert Bates
JOSEPH ROBERT BATES
CRD#: 5864255
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 9127 W UNION HILLS DR
SUITE 303
PEORIA, AZ 85382
Registration History
201020122014201620182020202220242026IAEDWARD JONES (CRD# 250)2014 - Present (11 years)BEDWARD JONES (CRD# 250)2011 - Present (13 years)BCOUNTRY CAPITAL MANAGEMENT COMPANY (CRD# 12060)2010 - 2011 (<1 year)
License(s)

State Registrations

B
Arizona 2/11/2013
B
New Mexico 8/18/2015
IA
Arizona 2/24/2015
B
North Carolina 5/5/2021
B
California 9/3/2015
B
Oregon 9/28/2018
B
Colorado 12/16/2013
B
Pennsylvania 1/28/2021
B
Florida 2/24/2015
B
South Carolina 11/18/2024
B
Georgia 4/26/2022
B
South Dakota 7/8/2024
B
Idaho 5/21/2024
B
Tennessee 6/8/2020
B
Illinois 1/18/2019
B
Texas 5/11/2015
B
Indiana 2/6/2019
IA
Texas 12/4/2018
B
Massachusetts 12/5/2019
B
Virginia 4/25/2016
B
Michigan 3/1/2018
B
Washington 4/23/2015
B
Minnesota 6/1/2023

SRO Registrations

B
 FINRA
B
 NYSE American 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
EDWARD JONES (CRD#:250)
9127 W UNION HILLS DR SUITE 303, PEORIA, AZ 85382
Registered with this firm since 2/5/2014
B
EDWARD JONES (CRD#:250)
9127 W UNION HILLS DR SUITE 303, PEORIA, AZ 85382
Registered with this firm since 11/11/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/09/2010 - 07/08/2011 COUNTRY CAPITAL MANAGEMENT COMPANY (CRD#:12060) MESA, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.