Unclaimed Profile

Jeffrey Paul Bates

KINGS POINT CAPITAL MANAGEMENT LLC·GREAT NECK, New York

Series 3, Series 4, Series 7, Series 24, Series 55, Series 63, Series 6522 years registeredKINGS POINT CAPITAL MANAGEMENT LLC

60 CUTTERMILL ROAD, GREAT NECK, NY 11021CRD# 2273114Firm CRD# 137728

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Jeffrey Paul Bates · GREAT NECK, NY

Registration

CRD #2273114 · KINGS POINT CAPITAL MANAGEMENT LLC · 22 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: KINGS POINT CAPITAL MANAGEMENT LLC

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Jun 2022 – Nov 2023

BRENTWOOD, TN

KINGS POINT CAPITAL MANAGEMENT LLC

Jan 2006 – Jun 2022

MEMPHIS, TN

G2 ADVISORS, LLC

Jan 2005 – May 2006

MEMPHIS, TN

GREEN SQUARE CAPITAL, LLC

Jan 2004 – Aug 2006

MEMPHIS, TN

Registrations & Exams

FINRA examinations passed

Series 3

Series 4

Series 7

Series 24

Series 55

Series 63

Series 65

Registration record

First registered · January 20, 2004

Years registered · 22

Disclosure History

Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

KINGS POINT CAPITAL MANAGEMENT LLC

CRD 137728 · SEC 801-64958

AUM

$1.7B

Regulatory assets under management

Employees

1,334 client accounts

Services offered by KINGS POINT CAPITAL MANAGEMENT LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at KINGS POINT CAPITAL MANAGEMENT LLC →

Introduction

Speak with Jeffrey

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Jeffrey is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in GREAT NECK?

Browse all registered financial advisors in GREAT NECK, New York or claim this profile if it's yours.

Browse GREAT NECK Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Jeffrey Paul Bates offer?

Jeffrey Paul Bates specializes in Financial Planning, Investment Management, Wealth Management, Fee-Only Advisory.

What are Jeffrey Paul Bates's credentials?

Jeffrey Paul Bates is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Jeffrey Paul Bates located?

Jeffrey Paul Bates is based in GREAT NECK, New York, last registered with KINGS POINT CAPITAL MANAGEMENT LLC.

How does Jeffrey Paul Bates charge for services?

Jeffrey Paul Bates's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is KINGS POINT CAPITAL MANAGEMENT LLC?

KINGS POINT CAPITAL MANAGEMENT LLC has approximately 17 employees and manages $1.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →