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Alan David Bates

Hamilton-Bates Investment Research, Inc.

Newtown Square, PA

Mertztown, PA

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Current Employers
Hamilton-Bates Investment Research, Inc.

Mertztown, PA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-10-14
TX RA APPROVED 2012-08-08
IL RA APPROVED 2012-04-17
PA RA APPROVED 1999-11-19
  • CA RA
    APPROVED
    Since 2025-10-14
  • TX RA
    APPROVED
    Since 2012-08-08
  • IL RA
    APPROVED
    Since 2012-04-17
  • PA RA
    APPROVED
    Since 1999-11-19

Branch Locations

4 St. Albans Avenue 2Nd Floor, Newtown Square, PA 19073 • United States

291 Linden Road, Mertztown, PA 19539 • 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
Hamilton-Bates Investment Research, Inc. Mertztown PA 09/1998 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-10-19
S63 Uniform Securities Agent State Law Examination 1991-06-19
  • S65 Uniform Investment Adviser Law Examination
    1992-10-19
  • S63 Uniform Securities Agent State Law Examination
    1991-06-19

View on SEC IAPD

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