0001620230-14-000001.txt : 20141223 0001620230-14-000001.hdr.sgml : 20141223 20141223133417 ACCESSION NUMBER: 0001620230-14-000001 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140923 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Stephen L. Bates CENTRAL INDEX KEY: 0001620230 IRS NUMBER: 810613230 STATE OF INCORPORATION: TN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-04383 FILM NUMBER: 141305988 BUSINESS ADDRESS: STREET 1: 740 CANE CREEK ROAD CITY: HOHENWALD STATE: TN ZIP: 38462 BUSINESS PHONE: 931-796-0777 MAIL ADDRESS: STREET 1: 740 CANE CREEK ROAD CITY: HOHENWALD STATE: TN ZIP: 38462 FORMER COMPANY: FORMER CONFORMED NAME: Stephen L. Bates DATE OF NAME CHANGE: 20140923 MA-I 1 primary_doc.xml MA-I 0001620230 XXXXXXXX Stephen L. Bates 931-796-0777 guardianadvisors@hughes.net N Stephen Lee Bates Mr N 1 0001620230 Stephen L. Bates Guardian Advisors, LLC 05-23-2003 N 09-23-2014 0001620230 LOCATED SUPERVISED 09-23-2014 Steve Lee Bates Mr. 09-2014 Guardian Advisors, LLC Hohenwald TN 38462 Y N Chief Manager 05-2003 09-2014 Guardian Advisors, LLC Hohenwald TN 38462 Y N Chief Manager N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 09-23-2014 Stephen Lee Bates Mr. Stephen L. Bates