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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2022-07-27 |
| TX | RA | APPROVED | 2022-07-21 |
Branch Locations
94 S. Mall Drive Suite 103, St. George, UT 84790 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 01/2011 | 07/2022 |
| Raymond James Financial Services, Inc. | St. George | UT | 07/2022 | Present |
| Raymond James Financial Services Advisors, Inc. | St. George | UT | 07/2022 | Present |
| North Rim Financial Group | St. George | UT | 07/2022 | Present |
| Bates Financial | Saint George | UT | 07/2023 | Present |
(1)Name of Business: Bates Financial Address: 94 S Mall Dr Ste 103, Saint George, UT, 84790-4900, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO Investment Related: No Start Date: 07/20/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner. It's my business as an independent financial advisor with Raymond James. (2)Name of Business: North Rim Financial Group Address: 94 S Mall Dr Ste 103, Saint George, UT, 84790-4900, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 07/21/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: North Rim Financial Group is our preapproved DBA.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-03-25 |
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