William Eaton Bates

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 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

• 12/2003 → Present
  Principal Life Insurance Co
  Pittsburgh, PA
• 12/2003 → Present
  Principal Securities Inc
  Pittsburgh, PA
• 12/2003 → Present
  Bates Financial Group
  Pittsburgh, PA

Previous Registrations

• 1991-02-19 → 2003-12-03
  Veravest Investment Advisors, Inc.
  Pittsburgh, PA

Other Businesses

**VARIOUS COMPANIES, RECEIVE RENEWALS FOR SERVICING EXISTING CONTRACTS, 1/4/2010. **Fixed Insurance, Life, LTC, Annuities, DI, 10/27/15. **Chapel of the Good Shepard at Chautauqua Institution, Director of Board of Trustees, 10/10/16. **Chapel of Good Shepard; Not Investment Related; Chautauqua, NY; Board Member; Member of the Finance and Investment Committee of Chapel Fund which provides input to chapel board. No advisory role; Start Date: 07/01/2018; 1 hrs per month; 1 during trading hours. **WRESTLERS IN BUSINESS NETWORK POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2024 ADDRESS: One Fieldvue Lane, Pittsburgh PA 15215, United States DESCRIPTION: Will engage with the other board members to make decisions that are in the best interest of the organization. Meetings will be held once per month.

Exams

• S63 Uniform Securities Agent State Law Examination
  2005-05-28
• S65 Uniform Investment Adviser Law Examination
  1995-09-12

Designations

• Chartered Financial Consultant