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Phillip Douglas Bates
PHILLIP DOUGLAS BATES
CRD#: 6405919
IA
B
EDWARD JONESCRD#: 250 425-A MCARTHUR DRIVE
ELIZABETH CITY, NC 27909
ELIZABETH CITY, NC 27909
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6/8/1983
Criminal
Final Disposition
State Registrations
B
California 4/3/2018
B
North Carolina 2/4/2015
B
Colorado 2/6/2024
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North Carolina 2/11/2015
B
Connecticut 11/15/2017
B
Pennsylvania 1/14/2020
B
Florida 1/11/2021
B
South Carolina 4/20/2016
B
Georgia 7/21/2015
B
South Dakota 10/18/2024
B
Illinois 6/18/2019
B
Tennessee 7/30/2019
B
Maryland 7/8/2015
B
Texas 6/7/2021
B
Missouri 8/29/2023
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Texas 6/8/2021
B
New York 9/16/2015
B
Virginia 3/23/2015
SRO Registrations
B
B
B
B
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Registered with this firm since 2/11/2015
B
Registered with this firm since 12/16/2014
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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.
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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.
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