Steven Floyd Bates

Current Employers

Employment History

• 07/2007 → Present
  Steven F. Bates, Cpa, Llc
  Winnfield, LA
• 10/2009 → 03/2023
  The O.N. Equity Sales Company
  Cincinnati, OH
• 09/2009 → 03/2023
  Ohio National Financial Services
  Cincinnati, OH
• 03/2023 → 01/2024
  Woodbury Financial Services Inc
  Winnfield, LA
• 01/2024 → Present
  Osaic Wealth, Inc.
  Winnfield, LA

Previous Registrations

• 2023-03-01 → 2024-01-19
  Woodbury Financial Services, Inc.
  Winnfield, LA
  Winnfield, LA
  Mckinney, TX
• 2010-01-12 → 2023-03-03
  On Investment Management Co
  Winnfield, LA
  Cincinnati, OH

Other Businesses

1) ELITE FINANCIAL & INVESTMENT SERVICES LLC POSITION: Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2007 ADDRESS: 203 N ABEL ST, Winnfield LA 71483, United States DESCRIPTION: Managing member of LLC for Office Overhead account and ownership of office building. This is the marketing name/DBA for the financial services offered through Osaic Wealth. 2) STEVEN F. BATES, CPA, LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2007 ADDRESS: 203 N ABEL ST, Winnfield LA 71483, United States DESCRIPTION: Tax return preparation, tax planning, etc. 3)KIESCHE PROPERTIES LLC POSITION: Managing Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2010 ADDRESS: 203 N ABEL ST, Winnfield LA 71483, United States DESCRIPTION: Manage timber production and harvesting operations. 4)GLORYLAND FARMS POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2006 ADDRESS: 914 L. Sullivan Road, Winnfield LA 71483, United States DESCRIPTION: Operation of beef cattle ranch. Cow/calf operation of approximately 100 females. 5) KIESCHE ENERGY LLC POSITION: Managing Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/29/2013 ADDRESS: 203 N ABEL ST, Winnfield LA 71483, United States DESCRIPTION: This is an Oil and Gas Royalty ownership company. The company is owned by me and my brother. I am the Managing Member of the company - reviewing accounting data, financials, and preparing tax return. 6) OAKWATER FINANCIAL GROUP, LLC: NOT INVESTMENT RELATED; 203 N ABEL STREET WINNFIELD la 71483; TAX PREPARATION AND LIMITED BOOKKEEPING SERVICES; OWNER/MEMBER 07/01/2022 - CURRENT; MANAGEMENT AND PRODUCTION; 20 HOURS PER MONTH, 20 HOURS PER MONTH DURING TRADING HOURS; PREPARATION OF INDIVIDUAL AND BUSINESS TAX RETURNS ALONG WITH LIMITED BOOKKEEPING SERVICES. 7) STEVEN F. BATES INVESTMENT SERVICES POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/01/2007 ADDRESS: 203 N ABEL ST, Winnfield LA 71483, United States DESCRIPTION: Sell and service traditional insurance products including life, fixed annuities, etc. 8) DROP TINE PROPERTIES LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2014 ADDRESS: 203 N ABEL ST, Winnfield LA 71483, United States DESCRIPTION: Member in LLC that owns hunting property in Mississippi. 9) DUGDEMONA SOIL AND WATER CONSERVATION DISTRICT POSITION: Board Member NATURE: Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2012 ADDRESS: 301 West Main Street, Winnfield LA 71483, United States DESCRIPTION: Board member for local soil and water conservation district. 10) OAKWATER FINANCIAL GROUP LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/04/2021 ADDRESS: 203 N ABEL ST, Winnfield LA 71483, United States DESCRIPTION: This will become the marketing name for CPA practice. This will be a partnership with my son, Thomas Bates.

Exams

• S63 Uniform Securities Agent State Law Examination
  2010-02-09

Designations