Carol Bates
Carol Bates is a CFP-designated registered investment advisor at Northwestern Mutual Investment Services,llc, based in Manhattan Bch, CA, with 17 years of industry experience. Carol operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.
Location
1230 Rosecrans Ave, Ste 100, Manhattan Bch, CA, 90266
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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.
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Carol works as a playtester for Yonex, testing tennis equipment, dedicating minimal time to this role. She is also a co-leader for the Girl Scouts, spending a few hours per week on this non-investment related activity.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
Domus Capital Group, LLC
Mutual Securities, INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
State Registrations15 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.