AdFi
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Ben G Bates

Investment Adviser Representative at MISSIONSQUARE WEALTH MANAGEMENT

Phoenix, AZCRD #4677714Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
22 yrs
States Registered
24 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 24 states
AlaskaArizonaArkansasCaliforniaColoradoHawaiiIdahoIowaKansasLouisianaMinnesotaMissouriMontanaNebraskaNevadaNew MexicoNorth DakotaOklahomaOregonSouth DakotaTexasUtahWashingtonWyoming
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 5/11/2022
Series 66
Uniform Combined State Law Examination
Passed 9/29/2007
SIE
Securities Industry Essentials Examination
Passed 7/17/2018
Series 7
General Securities Representative Examination
Passed 9/19/2007
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 8/25/2003
Series 24
General Securities Principal Examination
Passed 2/23/2026

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Missionsquare Wealth Management Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MISSIONSQUARE WEALTH MANAGEMENTCurrent
10/8/2021Phoenix, AZ
MISSIONSQUARE RETIREMENTCurrent
9/21/2021Phoenix, AZ
LEAFHOUSE FINANCIAL ADVISORS, LLC
8/22/20186/10/2021Phoenix, AZ
NATIONWIDE INVESTMENT ADVISORS, LLC
8/8/20147/17/2018Columbus, OH
PRINCOR FINANCIAL SERVICES CORPORATION
10/19/20075/7/2014Phoenix, AZ

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Ben G Bates has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Ben G Bates - Financial Advisor in Phoenix, AZ | AdvisorFinder