Ian Carter Bates

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 04/2016 → 12/2020
  Advisor Group
  Phoenix, AZ
• 01/2021 → 02/2021
  Unemployed
  Phoenix, AZ
• 02/2021 → 04/2021
  Edelman Financial Engines (Contractor)
  Phoenix, AZ
• 05/2021 → 12/2021
  Unemployed
  Phoenix, AZ
• 01/2022 → Present
  Advisor Group
  Phoenix, AZ
• 09/2023 → Present
  Osaic Wealth, Inc.
  Jersey City, NJ

Exams

• S66 Uniform Combined State Law Examination
  2023-10-20
• S63 Uniform Securities Agent State Law Examination
  1996-02-02