Joseph Michael Bates

Current Employers

Employment History

• 05/2016 → 10/2020
  Asset Planning Services Ltd.
  Harleysville, PA
• 10/2020 → Present
  Summit Financial, Llc
  Parsippany, NJ

Previous Registrations

• 2019-09-12 → 2020-10-20
  Asset Planning Services Ltd.
  Harleysville, PA

Other Businesses

Since 4/2/2019, Mr. Bates has been a member of Nafziger & Company, LLC a firm that purchases and holds real estate to rent and is located at 199 Springton Road, Glenmoore, PA 19343 . This is an investment-related business since it pertains to real estate, but there are no securities, commodities, banking, or insurance transactions. Mr. Bates' job responsibilities do not include day-to-day operational duties, but rather annual duties (such as electing officers); he would also participate in the purchase or sale of any properties through this business. He devotes approximately two hours per year to these duties, but not during securities trading hours. Healing Hearts: Foster/Adoption Ministry; Not investment related, business is a non-profit; 27 Valley View Drive, Collegeville PA 19426; start 2/2/24; Treasurer with check writing privileges; Duties: attend quarterly board meetings and keep the company's financial records, write a check as needed; Estimated 10 hours annually, no hours during securities trading hours. MRK Wealth Advisors, LLC: Investment related business; this disclosure is related to income tax preparation services. Start date: 2021; Location: 68 E Court Street, Doylestown, PA 18901; Nature of business: income tax preparation for clients. Mr. Bates is an employee and partner of MRK (https://mrkwealthadvisors.com/) and has oversight of CPA who will spend approximately 20% of her time preparing income taxes. This service is offered voluntarily to clients. They are free to work with whomever they would like for income tax preparation. He does not expect to receive any compensation. Clients are charged enough to cover software fees and CPA's time for preparing the return; less than 1hour per month is devoted to this activity and 0 hours during trading securities hours.

Designations