EB
EB

Eric Brandon Bates

31 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningEducation PlanningEstate PlanningFinancial Planning & CoachingTax Planning
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
26657 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B

Fee Structure

Minimum Investment:$1K
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Location

1640 East Cypress, Suite A, Redding, CA, 96002

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History

Regulatory History
Clean regulatory record

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.

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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
September 2017 - Present · 8 yrs 5 mos
LPL Financial LLC
September 2017 - Present · 8 yrs 5 mos
LPL Financial LLCBroker
September 2017 - Present · 8 yrs 5 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
June 2015 - September 2017 · 2 yrs 3 mos
Wells Fargo Clearing Services, LLC
June 2015 - September 2017 · 2 yrs 3 mos
Stifel, Nicolaus & Company, Incorporated
June 2009 - July 2015 · 6 yrs 1 mo
Stifel, Nicolaus & Company, IncorporatedBroker
June 2009 - July 2015 · 6 yrs 1 mo
Morgan Stanley Smith Barney LLC
June 2009 - June 2009 · 0 mos
Morgan Stanley Smith BarneyBroker
June 2009 - June 2009 · 0 mos
Citigroup Global Markets INC.Broker
May 2003 - June 2009 · 6 yrs 1 mo
Citigroup Global Markets INC.
May 2003 - June 2009 · 6 yrs 1 mo
Prudential Securities IncorporatedBroker
December 2000 - December 2000 · 0 mos
Morgan Stanley
August 1998 - May 2003 · 4 yrs 9 mos
Morgan Stanley Dw INC.Broker
April 1997 - May 2003 · 6 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1994 - April 1997 · 2 yrs 4 mos
Prudential Securities IncorporatedBroker
June 1994 - December 1994 · 6 mos
State Registrations10 states
AZCAHIIDILMTNVORTXWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.