Thomas Bates is a CFP, ChFC-designated registered investment advisor, based in Columbus, OH, with 44 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold.
Location
4656 Executive Dr, Ste 100, Columbus, OH, 43220
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Regulatory History (1)
Customer Dispute
October 2023Other Business ActivitiesSells Insurance
Thomas is an independent insurance agent, a partner in an office space rental, and president of a school board and alumni board. He also provides TPA/pension consulting services, acts as an advisory rep for a RIA, sells TPA services, consults for a construction firm, handles tax referrals, and is involved in real estate.
Employment History
Current Registrations
Cambridge Investment Research, INC.
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Previous Registrations
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
Mony Securities Corporation
Mony Securities CorporationBroker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations19 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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