Eric Bates has been an investment adviser representative at Rubicon Advisors, GP since September 2017, and is not listed among the firm’s executive officers or direct owners.
Rubicon Advisors, GP is a Redding, CA firm with $421M under management, 1,391 clients and 19 advisers across 6 offices, as of its September 2026 filing.
Eric Bates’ longest registration is the current one, 9 years at LPL Financial LLC since 2017. Before joining Rubicon Advisors, GP in 2017, Eric Bates was registered through Wells Fargo Clearing Services, LLC and Stifel, Nicolaus & Company, Incorporated.
- LPL Financial LLCAlso current– present · 9 yearsRocklin, CA · Adviser representative and broker · Firm CRD 6413
- Wells Fargo Clearing Services, LLC– · 2 yearsRoseville, CA · Adviser representative · Firm CRD 19616
- Stifel, Nicolaus & Company, Incorporated– · 6 yearsLincoln, CA · Adviser representative · Firm CRD 793
- Morgan Stanley Smith Barney LLC– · under a yearSacramento, CA · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 6 yearsSacramento, CA · Adviser representative · Firm CRD 7059
- Morgan Stanley– · 4 yearsSacramento, CA · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Eric Bates is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2017; the most recent is Texas, in September 2021.
- CaliforniaSince 18 September 2017
- TexasResidentSince 10 September 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 22 June 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 June 1994 |
| Series 7 | General Securities Representative Examination | 7 June 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Eric Brandon Bates
- CRD
- 2489387
- Firm
- Rubicon Advisors, GP · CRD 174447
- Office
- 2998 Douglas Blvd., Suite 320, Roseville, CA 95661
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 1994
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Eric Bates work?
Eric Bates is an investment adviser representative registered through Rubicon Advisors, GP since September 2017, and is not listed among the firm’s executive officers or direct owners.
Is Eric Bates a financial advisor?
Yes. Eric Bates has a current investment-adviser registration in California and Texas, through Rubicon Advisors, GP since September 2017.
How many years of experience does Eric Bates have?
Eric Bates has 32 years in the financial industry, since June 1994, across 7 adviser firms.
What exams has Eric Bates passed?
Eric Bates has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in June 1994. FINRA credited Eric Bates with the SIE, which began in October 2018.
Where did Eric Bates work before Rubicon Advisors, GP?
Before Rubicon Advisors, GP, Eric Bates was registered through Stifel, Nicolaus & Company, Incorporated, June 2009 to July 2015; Morgan Stanley Smith Barney LLC, June 2009 to June 2009; Citigroup Global Markets Inc., May 2003 to June 2009; Morgan Stanley, August 1998 to May 2003.
Where is Eric Bates based?
Eric Bates’ registered office is in Roseville, CA.
Is Eric Bates registered with FINRA?
Yes. Eric Bates has a current broker registration, under CRD 2489387.
Source: FINRA BrokerCheck
How can I verify Eric Bates’ record?
Search CRD 2489387 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Eric Bates’ full registration record.