Best Investors Account Sign in

James Edward Bates

Edward Jones

Mystic, CT

Claim This Profile
Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-12-19
CT RA APPROVED 2006-11-27
  • TX RA
    APPROVED_RES
    Since 2018-12-19
  • CT RA
    APPROVED
    Since 2006-11-27

Branch Locations

34 Water St Unit 4, Mystic, CT 06355 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St. Louis MO 09/2006 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-16
  • S66 Uniform Combined State Law Examination
    2006-11-16
Designations
Other Names
  • James E Bates

View on SEC IAPD

Other Firms

NEBRODI PARTNERS, LLC
MORGAN STANLEY
ERNST & YOUNG INVESTMENT ADVISERS LLP
ROCKEFELLER FINANCIAL LLC
BRADLEY FOSTER & SARGENT INC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
LPL FINANCIAL LLC

Other Investors

RANDY SCOTT HOLMEEN
PETER NILS JUNGGREN
JONATHAN TAYLOR KEENEY FRUCCE
Cassandra R Beauvais
Danny Alberto Parenteau
STEVEN THOMAS NORRIS
SALVATORE JOSEPH TARTAGLIONE
TIMOTHY DONALD BRODERICK

Other Offices

NEBRODI PARTNERS, LLC · HARTFORD, CT
MORGAN STANLEY · Hartford, CT
ERNST & YOUNG INVESTMENT ADVISERS LLP · HARTFORD, CT
ROCKEFELLER FINANCIAL LLC · Hartford, CT
BRADLEY FOSTER & SARGENT INC · HARTFORD, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HARTFORD, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HARTFORD, CT
BRADLEY FOSTER & SARGENT INC · Hartford, CT

More in Mystic, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor