TB
CFP · ChFC
TB
CFP · ChFC
Thomas Bates is a CFP, ChFC-designated registered investment advisor, based in Columbus, OH, with 43 years of industry experience.
Location
4656 Executive Dr, Ste 100, Columbus, OH, 43220
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Regulatory History (1)
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Customer Dispute
October 2023Settled
Other 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.
October 2011 - Present · 14 yrs 7 mos
Cambridge Investment Research Advisors, INC.
October 2011 - Present · 14 yrs 7 mos
Cambridge Investment Research, INC.Broker
October 2011 - Present · 14 yrs 7 mos
Previous Registrations
Woodbury Financial Services, INC.
May 2006 - October 2011 · 5 yrs 5 mos
Woodbury Financial Services, INC.Broker
May 2006 - October 2011 · 5 yrs 5 mos
AXA Advisors, LLC
June 2005 - May 2006 · 11 mos
AXA Advisors, LLCBroker
June 2005 - May 2006 · 11 mos
Mony Securities Corporation
December 1999 - June 2005 · 5 yrs 6 mos
Mony Securities CorporationBroker
June 1991 - June 2005 · 14 yrs
Pruco Securities CorporationBroker
November 1982 - June 1991 · 8 yrs 7 mos
The Prudential Insurance Company of AmericaBroker
July 1982 - June 1991 · 8 yrs 11 mos
State Registrations18 states
AZCAFLGAINKSMDMNMSNCNHNMNYOHPASCSDWV
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.