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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

Donald Edgar Bates

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Richmond, IN | McCordsville, IN

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Search this name across graphsid dfx:ria:bde5bee7-7a44-8353-a81b-1508ca86c882

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Oct 6, 1999 to Sep 15, 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: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 27, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Apr 27, 1995
First registration: Oct 6, 1999
Dual registered: yes, broker-dealer
Other names: DONALD E BATES|DON BATES|DONALD EDGAR BATES|DONALD EDGAR BATES|DON E BATES|DON BATES|Donald Edgar Bates
IAPD individual key: 2612645

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
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 13, 2022	n/a	yes	Richmond, IN\|McCordsville, IN	Current employment
THURSTON SPRINGER ADVISORS	Bd affiliated wealth	Aug 25, 2020	Dec 14, 2022	no	INDIANAPOLIS, IN	Previous registration
THURSTON SPRINGER FINANCIAL	Former SEC adviser	Aug 24, 2018	Jul 6, 2021	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|Richmond, IN	Previous registration
SANCTUARY ADVISORS, LLC	Bd affiliated wealth	Aug 11, 2015	Aug 24, 2018	no	CHICAGO, IL	Previous registration
DAVID A. NOYES & COMPANY	Former SEC adviser	Jul 2, 2014	Aug 11, 2015	no	RICHMOND, IN\|INDIANAPOLIS, IN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 11, 2011	Jan 16, 2014	no	RICHMOND, IN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Mar 11, 2011	no	RICHMOND, IN	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Oct 6, 1999	Jan 1, 2008	no	RICHMOND, IN\|ST. LOUIS, MO	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
THURSTON SPRINGER ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 14, 2022	Dec 13, 2022	-1	Firm change	Ibd to ibd
THURSTON SPRINGER FINANCIAL	THURSTON SPRINGER ADVISORS	Jul 6, 2021	Aug 25, 2020	-315	Firm change after gap	Ibd to ibd
SANCTUARY ADVISORS, LLC	THURSTON SPRINGER FINANCIAL	Aug 24, 2018	Aug 24, 2018	0	Firm change	Other
DAVID A. NOYES & COMPANY	SANCTUARY ADVISORS, LLC	Aug 11, 2015	Aug 11, 2015	0	Firm change	Other
WELLS FARGO ADVISORS	DAVID A. NOYES & COMPANY	Jan 16, 2014	Jul 2, 2014	167	Firm change	Other
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Mar 11, 2011	Mar 11, 2011	0	Channel change	Wirehouse to wirehouse
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
299201:6363:IN:2022-12-14	Dec 14, 2022	Dec 13, 2022	INDIANAPOLIS, IN	Firm change
8478:299201:IN:2021-07-06	Jul 6, 2021	Aug 25, 2020	RICHMOND, IN	Firm change after gap
226606:8478:IL:2018-08-24	Aug 24, 2018	Aug 24, 2018	CHICAGO, IL	Firm change
205:226606:IN:2015-08-11	Aug 11, 2015	Aug 11, 2015	INDIANAPOLIS, IN	Firm change

Relationships

Registered with (8)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Dec 13, 2022 to presentfactForm ADV
→ THURSTON SPRINGER ADVISORSRegistered adviserregistration: previous registration
Aug 25, 2020 to Dec 14, 2022factForm ADV
→ THURSTON SPRINGER FINANCIALRegistered adviserregistration: previous registration
Aug 24, 2018 to Jul 6, 2021factForm ADV
→ SANCTUARY ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 11, 2015 to Aug 24, 2018factForm ADV
→ DAVID A. NOYES & COMPANYRegistered adviserregistration: previous registration
Jul 2, 2014 to Aug 11, 2015factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 11, 2011 to Jan 16, 2014factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Mar 11, 2011factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Oct 6, 1999 to Jan 1, 2008factForm ADV

Dated events

Occurred
Dec 14, 2022
Advisor changed firm
Donald Edgar Bates left Thurston Springer Advisors for Ameriprise Financial Services, Llc (registered 2022-12-13)
Form ADVobserved 5 days ago