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Thomas Griffith Bates

Tgb Asset Management, LLC

Jupiter, FL

CRD 7016957

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Employer firm

Tgb Asset Management, LLC CRD 342958

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
Tgb Asset Management, Llc

Jupiter, FL • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-07-30
  • FL RA
    APPROVED
    Since 2026-07-30

Branch Locations

Jupiter, FL • 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
Wisehaupt Bray Asset Management Palm Beach Gardens FL 08/2016 02/2017
Wilbanks Smith & Thomas Asset Management Norfolk VA 11/2017 09/2021
Unemployed Jupiter FL 02/2017 11/2017
Tgb Asset Management, Llc Jupiter FL 05/2026 Present
Unemployed Jupiter FL 05/2025 05/2026
Nextera Energy Marketing Juno Beach FL 05/2024 05/2025
Nextera Energy Resources Juno Beach FL 01/2022 04/2024
Unemployed Jupiter FL 09/2021 12/2021
  • 08/2016 → 02/2017
    Wisehaupt Bray Asset Management
    Palm Beach Gardens, FL
  • 11/2017 → 09/2021
    Wilbanks Smith & Thomas Asset Management
    Norfolk, VA
  • 02/2017 → 11/2017
    Unemployed
    Jupiter, FL
  • 05/2026 → Present
    Tgb Asset Management, Llc
    Jupiter , FL
  • 05/2025 → 05/2026
    Unemployed
    Jupiter , FL
  • 05/2024 → 05/2025
    Nextera Energy Marketing
    Juno Beach , FL
  • 01/2022 → 04/2024
    Nextera Energy Resources
    Juno Beach , FL
  • 09/2021 → 12/2021
    Unemployed
    Jupiter , FL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-04-19
  • S65 Uniform Investment Adviser Law Examination
    2019-04-19
Designations
  • Chartered Financial Analyst
Other Names
  • Tom Bates

View on SEC IAPD

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