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Garrett W. Weston Bates

Ubs Financial Services Inc.

Walnut Creek, CA

San Francisco, CA

Lafayette, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-05-08
CA RA APPROVED 2010-12-21
  • TX RA
    APPROVED_RES
    Since 2017-05-08
  • CA RA
    APPROVED
    Since 2010-12-21

Branch Locations

1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • United States

555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States

Lafayette, CA • 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
Ubs Financial S. - Wilmington Palo Alto CA 12/2010 Present
  • 12/2010 → Present
    Ubs Financial S. - Wilmington
    Palo Alto, CA
Other Businesses

1. Garrett Bates NIna Punzi JTWROS, LafayetteCalifornia United States-94549, Single Family Rental, jointly owned with my wife, Real Estate Rental income, Owner / landlordLandlord, renting/easing, start date-6/1/2025, Investment related-Yes.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-18
  • S66 Uniform Combined State Law Examination
    2009-05-18
Other Names
  • Garrett W Bates
  • Garrett Bates
  • Garrett Weston Bates

View on SEC IAPD

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OSAIC WEALTH, INC.

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CHRISTOPHER STEPHEN HUGHES
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KELLY METZLER RANDALL
Sydney Irene Kovacs
DAVID ANTHONY ESPINEIRA
BENJAMIN ROSS PETERS
Annie Claire Klopstock
Alex Kyle Soderberg

Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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