Stuart O Bates

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

• Financial planning
• Selection of other advisers
• WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

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

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

Current Employers

Employment History

• 06/1997 → Present
  Charles Schwab & Co., Inc.
  Phoenix, AZ
• 08/2017 → Present
  Genial Ventures Llc
  Phoenix, AZ
• 08/2017 → Present
  Arizona Life Sciences Llc
  Phoenix, AZ
• 08/2017 → Present
  Natural Hen Llc
  Phoenix, AZ

Other Businesses

GENIAL VENTURES LLC | START DATE: 08/09/2017 | PHOENIX, AZ | NOT SECURITIES RELATED | MEMBER | HOLDING COMPANY FOR ARIZONA LIFE SCIENCE AND NATURAL HEN LLC - WILL BE CONSULTING BUSINESS OPPORTUNITIES | LESS THAN 20 HOURS PER MONTH - 0 DURING TRADING ||||| ARIZONA LIFE SCIENCES LLC | START DATE: 08/09/2017 | PHOENIX, AZ| NOT SECURITIES RELATED| MEMBER | BUSINESS VENTURE TO PROVIDE HEALTH CARE PRODUCTS FOR ANIMALS | LESS THAN 20 HOURS PER MONTH - 0 DURING TRADING ||||| NATURAL HEN LLC | START DATE: 08/09/2017 | PHOENIX, AZ | NOT SECURITIES RELATED | MEMBER | BUSINESS VENTURE IN CHICKEN FEED BUSINESS| LESS THAN 20 HOURS PER MONTH - 0 DURING TRADING |||||

Exams

• S66 Uniform Combined State Law Examination
  2006-05-02
• S63 Uniform Securities Agent State Law Examination
  1987-04-06

Other Names

• Stu Bates
• Stuart Owen Bates