Thomas Ray Bates

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 10/2011 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 10/2011 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2006-05-16 → 2011-10-25
  Woodbury Financial Services, Inc.
  Columbus, OH
• 2005-06-01 → 2006-05-18
  Equitable Advisors, Llc
  Columbus, OH
  Columbus, OH
• 1999-12-07 → 2005-06-01
  Mony Securities Corporation
  Columbus, OH

Other Businesses

1) PROFESSIONAL INSURANCE SPECIALIST INC, 4656 EXECUTIVE DR, STE 100, COLUMBUS, OH, 1/1996 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/WK - 10/TRADING. 2) QUEEN, BATES AND ASSOCIATES, LLC 4656 EXECUTICVE DR STE 100 COLUMBUS, OH 43220. BEGAN 11/28/2010 AS A PARTNER/MEMBER OF OFFICE SPACE RENTAL. LARRY QUEEN AS WELL OCCUPIES THE FIRST FLOOR AND BASEMENT. RENT OUT THE SECOND FLOOR TO A TITLE AGENCY AND TO AN AATORNEY. DUTIES ARE MAINTAINING THE BLDG AND COLLECTING THE RENT. WE HAVE A SEPARATE CHECKING AND SAVINGS ACCOUNT FOR THIS BUSINESS. NOT INVESTMENT RELATED. DEVOTES 2 HRS/MNTH. DEVOTES 2 HRS/MNTH DURING TRADING. 3) A+ ARTS ACADEMY 270 S NAPOLEAN AVE COLUMBUS, OH 43213 BEGAN 8/1/2004 AS PRESIDENT OF BOARD HOLDING BOARD MEETINGS ONCE PER MONTH, REVIEWING THE SCHOOL ACTIVITIES AND FINANCES FOR THE MONTH AND RESOLVING SCHOOL MATTERS FOR THE SCHOOL. NOT INVESTMENT RELATED. DEVOTES 3 HRS/MNTH. DEVOTES 3 HRS DURING TRADING. 4) DELTA UPSILON FATERNITY 16TH AVE COLUMBUS, OH 43215. BEGAN 1/1/08 AS PRESIDENT OF ALUMNI BOARD MAKING SURE THE UDERGRADS ARE FULFILLING THEIR REQUIREMENTS TO GRADUATE AND TO STAY IN COMPLIANCE WITH THE FRATERNAL ORGANIZATION. REVIEWING THEIR BOOKKEEPING AND RECRUITING. NOT INVESTMENT RELATED. DEVOTES 3 HRS/MNTH. NONE DURING TRADING. NON-PROFIT ORGANIZATION. 5)TPA/PENSION CONSULTING, 4656 EXECUTIVE DR SUITE 100, COLUMBUS , OH 43220 , SELF EMPLOYED, SINCE 1/1/96, NON-INVESTMENT RELATED, 5 HOURS MONTHLY DURING TRADING HOURS. 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 12/WK - 5/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 6) SELLING THE SERVICES OF A TPA, 4656 EXECUTIVE DR, STE 100, COLUMBUS, OH, 1/1996. NIR - 5/MO - 5/TRADING. 7) THOMAS R BATES, CFP, LLC, 4656 EXECUTIVE DRIVE, STE 100, COLUMBUS OH, CONDUIT DELIVING FN-95 MASKS, 04/17/20, NIR, 2/MO- 0/TRADING 8) CATHEL BUILDERS, INC, 340 LEANING FENCE CT, PICKERINGTON, OH, CONSULTANT TO PRIVATE CONSTRUCTION FIRM, 02/15/20, NIR, 1/MO- 1/TRADING 9) THOMAS R. BATES CFP LLC, 4656 Executive Dr., Suite 100, Columbus OH 43220, Tax Referrals, 1099 Contractor, NIR, 0 HR/MO, 0 HR/MO Trading 10) BBQ, 4656 Executive Dr., Suite 100, Columbus OH 43220, 07/2008, Real Estate, NIR, 0 HR/MO - 0 HR/MO TRADING. 11) BATES ASSET MANAGEMENT LLC, 4656 Executive Dr., Suite 100, Columbus OH 43220, United States, 08/01/2025, Member, Real Estate, NIR, 0 HR/MO - 0 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-07-18
• S63 Uniform Securities Agent State Law Examination
  1991-12-17

Designations

• Certified Financial Planner
• Chartered Financial Consultant