Stuart Bates
Stuart Bates is a registered investment advisor at Charles Schwab & CO., INC., based in Phoenix, AZ, with 38 years of industry experience. Stuart operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Location
2423 E Lincoln Dr, Phoenix, AZ, 85016-1215
Get directionsHistory
Regulatory History (3)
Customer Dispute
December 2009Customer Dispute
September 2009Customer Dispute
April 2008Other Business Activities
Stuart is a member of Genial Ventures LLC, a holding company for Arizona Life Science and Natural Hen LLC, and will be consulting on business opportunities. He is also a member of Arizona Life Sciences LLC, a business venture to provide health care products for animals, and Natural Hen LLC, a business venture in the chicken feed business; each of these activities takes about 10-20% of Stuart's time.
Employment History
Current Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Previous Registrations
Round Hill Securities, INC.Broker
Norcross & CompanyBroker
Cenpac Securities CORP.Broker
Hibbard Brown & CO., INC.Broker
Sherwood Capital, INC.Broker
State Registrations51 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.