Eric Bates is a registered investment advisor at LPL Financial LLC, based in Redding, CA, with 31 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
1640 East Cypress, Suite A, Redding, CA, 96002
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Eric operates Rubicon Advisors as a DBA for his LPL business and provides investment advisory services through Rubicon Advisors, spending about half his time on this. He also engages in non-variable insurance activities through Crump Insurance and another unnamed entity, dedicating minimal time to each, and operates Eric Bates Advisory Incorporated for tax/investment purposes, spending nearly full-time hours on it.
Employment History
Current Registrations
Rubicon Advisors
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Prudential Securities IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential Securities IncorporatedBroker
State Registrations10 states
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