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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)34 years in industry

THOMAS RAY BATES

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Blacklick, OH | COLUMBUS, OH

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Search this name across graphsid dfx:ria:6281dcbb-1a42-6dc9-be18-4429c9eaf15e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 7, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 17, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S63|S65
First exam: Dec 17, 1991
First registration: Dec 7, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 1037294

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Oct 18, 2011	n/a	yes	COLUMBUS, OH\|Blacklick, OH	Current employment
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	May 16, 2006	Oct 25, 2011	no	COLUMBUS, OH	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jun 1, 2005	May 18, 2006	no	COLUMBUS, OH\|COLUMBUS, OH	Previous registration
MONY SECURITIES CORPORATION	n/a	Dec 7, 1999	Jun 1, 2005	no	COLUMBUS, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WOODBURY FINANCIAL SERVICES, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Oct 25, 2011	Oct 18, 2011	-7	Firm change	Other
EQUITABLE ADVISORS, LLC	WOODBURY FINANCIAL SERVICES, INC.	May 18, 2006	May 16, 2006	-2	Firm change	Other
MONY SECURITIES CORPORATION	EQUITABLE ADVISORS, LLC	Jun 1, 2005	Jun 1, 2005	0	Bulk transfer	Other

Relationships

Registered with (4)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Oct 18, 2011 to presentfactForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 16, 2006 to Oct 25, 2011factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 1, 2005 to May 18, 2006factForm ADV
→ MONY SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Dec 7, 1999 to Jun 1, 2005factForm ADV

Dated events

No dated event names this entity yet.