William
Bates

Principal Securities, Inc

CRD#811487
Investment Advisor
in Pittsburgh, PA
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About this Advisor

William Bates is an investment advisor whose office is in Pittsburgh, Pennsylvania. Currently an investment advisor at Principal Securities, Inc, Bates has 15 years of work experience as a financial advisor. Bates holds Series 63 and Series 65 licenses, designating the advisor as both a securities agent and an investment advisor representative. Bates is registered to operate based out of Pennsylvania. Bates has gained experience at Princor Financial Services Corp, Principal Life Insurance Co and Bates Financial Group. Principal Securities, Inc is based out of Pittsburgh, Pennsylvania, and operates out of 354 brick-and-mortar locations across the United States. As a company, Principal Securities, Inc manages $6 billion in assets throughout 28,235 client accounts and employs more than 1,687 people. The amount of assets the firm manages makes it one of the largest financial advisory firms in the nation. The firm manages 12,357 accounts on a discretionary basis, in which the advisor has the authority to make all investment decisions. Currently 2% of the advisory firm's investors are high-net-worth individuals, meaning they have more than $1 million in investable assets. Principal Securities, Inc offers financial planning services, portfolio management for individuals and small businesses, selection of other advisers and educational seminars. The firm may charge clients asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65, Chartered Financial Consultant

Years of Experience

15 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Others

Disclosures

No

Office Location

1001 Liberty Ave Ste 300
Pittsburgh, PA 15222

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Principal Securities, Inc Brokerage Details

Total Assets Under Management

$6,109,839,100

PA Average: $9,259,360,772
Total Number of Employees

1,603

PA Average: 166
Total Number of Accounts

31,797

PA Average: 7,189
Average Account Size

$192,151

PA Average: $1,287,990

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers
  • Educational seminars/workshops

William Bates Work History

William has 15 years of experience.

2003 - Present (16 years)

Princor Financial Services Corp

2003 - Present (16 years)

Principal Life Insurance Co

2003 - Present (16 years)

Bates Financial Group

Disclosures

William Bates has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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