Thomas Edward Bateman

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2013 → 11/2016
  Wells Fargo Advisors Llc
  Nashville, TN
• 11/2016 → 01/2022
  Wells Fargo Clearing Services, Llc
  Nashville, TN
• 01/2022 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 01/2022 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2013-12-16 → 2022-01-18
  Wells Fargo Clearing Services, Llc
  Nashville, TN
• 2012-03-12 → 2013-10-07
  Wells Fargo Clearing Services, Llc
  Nashville, TN
  Nashville, TN

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 2) THOMAS EDWARD BATEMAN III, 112 WESTWOOD PL STE. 160, BRENTWOOD TN 37027, 02/2022, Agent, Variable Annuities, INV REL, 2 HR/MO - 2 HR/MO Trading.

Exams

• S66 Uniform Combined State Law Examination
  2012-03-09

Other Names

• Thomas Edward Bateman
• Thomas E. Buster Bateman
• Buster Bateman