Beth Bates Email & Phone Number
Director - Advisory Compliance @ Raymond James
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Beth Bates Location
- Brownsville, TN, US
Beth Bates Work
- 2024 -now Director - Advisory Compliance @
- 2022 -2024 Senior Manager, Advisory Compliance @
- 2019 -2022 Compliance Manager - Registrations and Licensing and ADV2b @
- 2017 -2019 Compliance Officer -Advisory Compliance @
- 2016 -2016 Senior Financial Services Representative @
- 2008 -2015 Senior Registered Client Associate @
- 2008 -2015 Senior Registered Sales Associate and Sales Liaison-VP @ STERNE AGEE - STIFEL FINANCIAL
- 2004 -2007 Senior Registered Sales Associate @ RBC CAPITAL MARKETS - DAIN RAUSCHER
- 2003 -2007 Senior Registered Sales Assistant @ RBC Dain Raushcer
- 2002 -2003 Investment Operations Manager and Registered Sales Assistant @
- 1999 -2002 Registered Sales Assistant @
- 1999 -2002 Sales Assistant and Admin @
- 2000 -2000 Operations Specialist @ A.G. Edwards & Sons, Inc.
- 1999 -2000 Receptionist @ A.G. Edwards & Sons, Inc.
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.
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