Bartley James Bates

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-09-10
FL	RA	APPROVED	2007-08-27
NC	RA	APPROVED	2007-08-24

TX RA
APPROVED_RES

Since 2009-09-10
FL RA
APPROVED

Since 2007-08-27
NC RA
APPROVED

Since 2007-08-24

Branch Locations

150 Second Ave. North Suite 1000, St. Petersburg, FL 33701 • United States

11518 47Th Ave N St, Petersburg, FL 33708 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	St. Petersburg	FL	08/2007	Present

08/2007 → Present

Ubs Financial Services Inc.

St. Petersburg, FL

Previous Registrations

2004-02-27 → 2007-09-06

Rbc Capital Markets, Llc

St. Petersburg, FL

St. Petersburg, FL
1994-08-15 → 2004-02-27

William R. Hough & Co.

St. Petersburg, FL

Other Businesses

1) Wrap It Up Pilings / 11518 47th Ave. North St.. Petersburg,FL 33708 / No/ Privately Held / USD / No / No / / Start Date 11/19/2016 /

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-29
S63	Uniform Securities Agent State Law Examination	1993-11-17

S65 Uniform Investment Adviser Law Examination

1993-12-29
S63 Uniform Securities Agent State Law Examination

1993-11-17

Other Names

Bart James Bates

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews