Eric Bates
Eric Bates is a registered investment advisor at LPL Financial LLC, based in Roseville, CA, with 32 years of industry experience. Eric is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
2998 Douglas Blvd., Suite 320, Roseville, CA, 95661
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Eric operates Rubicon Advisors as a DBA for his LPL business and provides investment advisory services through Rubicon Advisors, spending about half his time on this. He also engages in non-variable insurance activities through Crump Insurance and another unnamed entity, dedicating minimal time to each, and operates Eric Bates Advisory Incorporated for tax/investment purposes, spending nearly full-time hours on it.
Employment History
Current Registrations
Rubicon Advisors
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Prudential Securities IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential Securities IncorporatedBroker
State Registrations10 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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