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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

ERIC BRANDON BATES

Advisor at RUBICON ADVISORS

REDDING, CA | Roseville, CA

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Search this name across graphsid dfx:ria:c3a29623-a024-e4c6-1f57-f1054459b804

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 24, 1998 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: RUBICON ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 10, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jun 10, 1994
First registration: Aug 24, 1998
Dual registered: yes, broker-dealer
IAPD individual key: 2489387

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
RUBICON ADVISORS	Independent wealth	Sep 18, 2017	n/a	yes	REDDING, CA\|Roseville, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jun 30, 2015	Sep 27, 2017	no	SACRAMENTO, CA\|ORANGEVALE, CA\|CARMICHAEL, CA\|ROSEVILLE, CA\|SACRAMENTO, CA\|SACRAMENTO, CA\|FAIR OAKS, CA\|SACRAMENTO, CA\|ROSEVILLE, CA\|CITRUS HEIGHTS, CA\|CITRUS HEIGHTS, CA\|CITRUS HEIGHTS, CA	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Jun 15, 2009	Jul 15, 2015	no	LINCOLN, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 26, 2009	no	SACRAMENTO, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 9, 2003	Jun 1, 2009	no	SACRAMENTO, CA\|SACRAMENTO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 24, 1998	May 13, 2003	no	SACRAMENTO, CA	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
WELLS FARGO ADVISORS	RUBICON ADVISORS	Sep 27, 2017	Sep 18, 2017	-9	Firm change	Other
STIFEL, NICOLAUS & COMPANY, INCORPORATED	WELLS FARGO ADVISORS	Jul 15, 2015	Jun 30, 2015	-15	Firm change	Ibd to wirehouse
MORGAN STANLEY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Jun 26, 2009	Jun 15, 2009	-11	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	CITIGROUP GLOBAL MARKETS INC.	May 13, 2003	May 9, 2003	-4	Firm change	Other

Relationships

Registered with (6)

→ RUBICON ADVISORSRegistered adviserregistration: current employment
Sep 18, 2017 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 30, 2015 to Sep 27, 2017factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Jun 15, 2009 to Jul 15, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 26, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 9, 2003 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 24, 1998 to May 13, 2003factForm ADV

Dated events

No dated event names this entity yet.