Carol Bates
Carol Bates is a CFP-designated registered investment advisor at Northwestern Mutual Investment Services,llc, based in Manhattan Bch, CA, with 18 years of industry experience. Carol is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 1 clients.
Compensation
Firm Size
IM Fee
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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.
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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.
Exams
More Advisors
- Sandeep Gupta, ChFCNorthwestern Mutual Investment Services,llc