William Bates
William Bates is a registered investment advisor at LPL Financial LLC, based in Saginaw, MI, with 43 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
3126 Davenport, Saginaw, MI, 48602
Get directionsHistory
Regulatory History (2)
Customer Dispute
October 2005Regulatory
March 1998Other Business ActivitiesSells Insurance
William operates under Encompass Financial Partners and Professional Affiliation Program, LLC as DBAs for his LPL business, dedicating minimal time to each. He also sells non-variable insurance, spending about 10-20% of his time on this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Royal Alliance Associates, INC.
Royal Alliance Associates, INC.Broker
Ing Financial Partners, INC
Ing Financial Partners, INC.Broker
North American Financial Group, INC.Broker
Equico Securities, INC.Broker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations4 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.