Carol Anne Bates is an investment adviser representative (IAR) with state registration records since 2008, appearing at 4 firms. Currently registered with NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC.
| Firm | From | To | Current |
|---|---|---|---|
| NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | 2024-10-02 | present | Yes |
| DOMUS CAPITAL GROUP, LLC | 2012-12-10 | 2019-09-20 | — |
| WELLS FARGO CLEARING SERVICES, LLC | 2009-03-23 | 2012-11-15 | — |
| UBS FINANCIAL SERVICES INC. | 2008-11-25 | 2009-04-02 | — |