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Detailed Report
Joseph Michael Bates
CRD#: 7176279
IA
Investment Adviser
SUMMIT FINANCIAL, LLCCRD#: 299322 68 E. COURT STREET
DOYLESTOWN, PA 18901
Registration History
20192020202120222023202420252026IASUMMIT FINANCIAL, LLC (CRD# 299322)2020 - Present (4 years)IAASSET PLANNING SERVICES LTD. (CRD# 105727)2019 - 2020 (1 year)
License(s)

State Registrations

IA
Pennsylvania 10/16/2020
Current Registration(s)
IA
SUMMIT FINANCIAL, LLC (CRD#:299322)
68 E. COURT STREET, DOYLESTOWN, PA 18901
Registered with this firm since 10/16/2020
Previous Registration(s)
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IA
 09/12/2019 - 10/20/2020 ASSET PLANNING SERVICES LTD. (CRD#:105727) HARLEYSVILLE, PA
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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.
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.