Beth Bates Email & Phone Number
Director - Advisory Compliance @ Raymond James
5 free lookup(s). No credit card required.
If you need more lookups,
subscriptions start at $34 USD/month.
Beth Bates Location
- Brownsville, TN, US
Beth Bates Work
- Director - Advisory Compliance @ (November 2024 - Present)
- Senior Manager, Advisory Compliance @ (November 2022 - November 2024)
- Compliance Manager - Registrations and Licensing and ADV2b @ (February 2019 - November 2022)
- Compliance Officer -Advisory Compliance @ (January 2017 - February 2019)
- Senior Financial Services Representative @ (February 2016 - December 2016)
- Senior Registered Client Associate @ (February 2008 - November 2015)
- Senior Registered Sales Associate and Sales Liaison-VP @ STERNE AGEE - STIFEL FINANCIAL (February 2008 - November 2015)
- Senior Registered Sales Associate @ RBC CAPITAL MARKETS - DAIN RAUSCHER (February 2004 - September 2007)
- Senior Registered Sales Assistant @ RBC Dain Raushcer (January 2003 - January 2007)
- Investment Operations Manager and Registered Sales Assistant @ (October 2002 - May 2003)
- Registered Sales Assistant @ (July 1999 - October 2002)
- Sales Assistant and Admin @ (July 1999 - October 2002)
- Operations Specialist @ A.G. Edwards & Sons, Inc. (January 2000 - May 2000)
- Receptionist @ A.G. Edwards & Sons, Inc. (July 1999 - January 2000)
Beth Bates Education
- Shelby State Community College
SWTCC (General Studies/Psychology)
- High School
Beth Bates Skills
- Series 63
- Hold Series 7
- Investments
- Bloomberg
- Fixed Income
- Securities
Beth Bates Summary
- Beth Bates, based in Brownsville, TN, US, is currently a Director - Advisory Compliance at Raymond James. Beth Bates brings experience from previous roles at Raymond James and First Tennessee Bank. Beth Bates holds a SWTCC in General Studies/Psychology @ Shelby State Community College. With a robust skill set that includes Series 63, Hold Series 7, Investments, Bloomberg, Fixed Income and more. Beth Bates has 1 emails and 1 mobile phone numbers on RocketReach.
Looking for a different Beth Bates?
Find contact details for 700 million professionals.
Others Named Beth Bates
Beth Cowen
Partner, Private Funds
United Kingdom
Beth Bates
Humana Insurance IT: Portfolio Lead
Prospect, KY, US
Beth Bates
Memory Care Program Director
West Palm Beach, FL, US
Beth Bates
Attorney
Jackson, TN, US
Beth Bates
Departmental Administrative Assistant
Caldwell, NJ, US
Beth Bates
Director of Marketing
Aston, PA, US
Beth Bates
Vice President of Development
Moultrie, GA, US
Top Raymond James Employees
Patrick Lynch
COO, Financial Services Investment Banking
San Francisco, CA, US
Tash Elwyn
President, Private Client Group, Raymond James Financial
Saint Petersburg, FL, US
Al Caudullo
Chief Operating Officer - Asset Management Services
Florida, United States
Mercedes van Woerkom
COO and MD-Equity Research
Saint Petersburg, FL, US
Aaron Gabriel
President
San Ramon, CA, US
Shayne Lester
CEO, Partners in Planning | Financial Advisor
Norman, OK, US
Michael Cox
President - Coastal Bay Wealth Management; CFP, RJFS
New Port Richey, FL, US
Greg Bruce
President, RIA and Custody Services Division (RCS)
Saint Petersburg, FL, US
Catherine Haffner
President, Haffner Private Wealth
San Antonio, TX, US
Debi Gregory
President and CEO, DG Financial
Kirkland, WA, US
Doug Brigman
President, Asset Management Services
Saint Petersburg, FL, US
David Ammerman
CEO, Ammerman Wealth Management
Ponte Vedra Beach, FL, US
Patrick O'Connor
Chief Operating Officer
Tampa, FL, US
Ryan Smith
President
Oak Park, IL, US
G2 Crowd Trusted
300K+ Plugin Users
© 2026 RocketReach.co