• 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.
Matthew Adam Bates
Matthew Bates
CRD#: 7177483
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3390 UNIVERSITY AVENUE
RIVERSIDE, CA 92501
Registration History
20202021202220232024202520262 FIRMS2020 - Present (4 years)
License(s)

State Registrations

B
Alabama 2/5/2024

B
Nevada 9/20/2023

B
Alaska 9/20/2023

B
New Hampshire 11/1/2023

B
Arizona 10/7/2021

B
New Jersey 11/1/2023

B
Arkansas 9/20/2023

B
New Mexico 9/20/2023

B
California 10/15/2020

B
New York 9/20/2023

IA
California 10/15/2020

B
North Carolina 9/20/2023

B
Colorado 9/20/2023

B
Ohio 9/20/2023

B
Florida 9/20/2023

B
Oregon 11/1/2023

B
Georgia 9/20/2023

B
Pennsylvania 11/1/2023

B
Idaho 9/20/2023

B
South Dakota 11/1/2023

B
Illinois 9/20/2023

B
Tennessee 11/1/2023

B
Indiana 9/20/2023

B
Texas 9/7/2023

B
Kansas 3/1/2024

IA
Texas 2/6/2024

B
Maryland 6/3/2024

B
Utah 10/30/2023

B
Massachusetts 9/20/2023

B
Vermont 11/1/2023

B
Michigan 9/20/2023

B
Virginia 11/1/2023

B
Minnesota 9/20/2023

B
Washington 11/1/2023

B
Nebraska 9/20/2023

B
Wisconsin 8/12/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, 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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3390 UNIVERSITY AVENUE, RIVERSIDE, CA 92501
Riverside, CA
Registered with this firm since 10/15/2020

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3390 UNIVERSITY AVENUE, RIVERSIDE, CA 92501
Riverside, CA
Registered with this firm since 7/10/2020

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.