Eric Brandon Bates

Current Employers

Employment History

• 06/2015 → 11/2016
  Wells Fargo Advisors, Llc
  El Dorado Hills, CA
• 11/2016 → 09/2017
  Wells Fargo Clearing Services, Llc
  El Dorado Hills, CA
• 09/2017 → Present
  Lpl Financial, Llc
  Roseville, CA
• 09/2017 → Present
  Rubicon Advisors
  Roseville, CA

Previous Registrations

• 2015-06-30 → 2017-09-27
  Wells Fargo Clearing Services, Llc
  Sacramento, CA
  Orangevale, CA
  Carmichael, CA
  Roseville, CA
  Sacramento, CA
  Sacramento, CA
  Fair Oaks, CA
  Sacramento, CA
  Roseville, CA
  Citrus Heights, CA
  Citrus Heights, CA
  Citrus Heights, CA
• 2009-06-15 → 2015-07-15
  Stifel, Nicolaus & Company, Incorporated
  Lincoln, CA
• 2009-06-01 → 2009-06-26
  Morgan Stanley
  Sacramento, CA
• 2003-05-09 → 2009-06-01
  Citigroup Global Markets Inc.
  Sacramento, CA
  Sacramento, CA
• 1998-08-24 → 2003-05-13
  Morgan Stanley Dw Inc.
  Sacramento, CA

Other Businesses

1. 09/18/2017 - RUBICON ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 50%/ ROSEVILLE, CA. 2. 11/2/2017 - Rubicon Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/07/2017 - 80 Hours Per Month/4 Hours During Securities Trading - IAR - Time Spent 50% - I provide investment advisory services through Rubicon Advisors, an independent investment advisor firm. I started this business activity in 09/2017. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 11/17/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/27/2017 - 5 Hours Per Month/0 Hours During Securities Trading. 4. 12/18/2017 - Crump Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Advisor - Start Date 11/10/2017 - 1 Hours Per Month/0 Hours Per Trading. 5. 8/13/2020 - Eric Bates Advisory Incorporated - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 02/01/2019 - 168 Hours Per Month/8 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-06-22
• S63 Uniform Securities Agent State Law Examination
  1994-06-10