GB
George E. Bates
BATES FINANCIAL ADVISORS
Rockford, IL 61107
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CRD#: 14642
GB
Professional summary
George Ernest Bates, who also goes by George E Bates, is a registered financial advisor currently at BATES FINANCIAL ADVISORS, INC. located in Rockford, Illinois and BATES SECURITIES, INC. located in Rockford, Illinois.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. George has worked at 10 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 7TO, SIE, Series 1, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
George E Bates
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. BATES FINANCIAL ADVISORS, INC., INVESTMENT RELATED, 8437 NORTHERN AVENUE, ROCKFORD, IL 61107, OWNER/PRESIDENT/CCO/ADVISOR, STARTED JANUARY 1985, APPROXIMATELY 106 HOURS PER MONTH DURING TRADING HOURS, INVESTMENT ADVISOR.
2. BATES FINANCIAL SERVICES, INC., INVESTMENT RELATED, 8437 NORTHERN AVENUE, ROCKFORD, IL 61107, OWNER/PRESIDENT/INSURANCE AGENT, STARTED FEBRUARY 1995, APPROXIMATELY 1 HOUR PER MONTH DURING TRADING HOURS, INSURANCE AGENT.
3. BATES QUARTER HORSES, NON-INVESTMENT RELATED, 18427 E MCNEAL RD, MONROE CENTER, IL 61052, A RACING HORSE PARTNER OF DENNIS CROOKS, STARTED 1985, APPROXIMATELY 50 HOURS/MONTH, 10 HOURS/MONTH DURING TRADING HOURS, BUY, SELL, BREED, AND RACE HORSES.
4. GUATEMALAN CHILDREN'S EDUCATION AND RELIEF FUND NFP, NON-INVESTMENT RELATED, LOCATED AT 18427 MCNEAL ROAD, MONROE CENTER, IL 61052, PRESIDENT, STARTED FEBRUARY 24, 2006, APPROXIMATELY 6 1/2 HOURS PER MONTH DURING NON-TRADING HOURS, MAKES DECISIONS ON HOW TO SPEND NFP MONEY FOR NEEDS OF GUATEMALAN CHILDREN.
CRS (Client Relationship Summary) - RIA
Click below to view George Ernest Bates's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 24, 1998 - Present
BATES FINANCIAL ADVISORS, INC.
Office #1: 8437 Northern Ave, Rockford, IL 61107RIA
CRD#: 116515
Rockford, IL
Current
October 22, 1982 - Present
BATES SECURITIES, INC.
Office #1: 8437 Northern Ave, Rockford, IL 61107BD
CRD#: 10759
Rockford, IL
Past
May 24, 1998 - December 31, 2017
BATES FINANCIAL ADVISORS, INC.
RIA
CRD#: 116515
ROCKFORD, IL
Past
December 28, 1981 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
December 23, 1981 - June 10, 1982
BORAIKO SECURITIES CORPORATION
BD
CRD#: 8303
Past
May 1, 1981 - November 15, 1981
OBERWEIS SECURITIES, INC.
BD
CRD#: 7739
Past
September 19, 1979 - November 20, 1981
BRIDEGAN-CONRADS & CO., INC.
BD
CRD#: 6894
Past
May 5, 1978 - December 5, 1979
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
Past
August 20, 1976 - January 27, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
Past
March 20, 1973 - October 17, 1976
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
Past
August 28, 1972 - March 23, 1973
THE VAMCO OF ILLINOIS INC
BD
CRD#: 1000001
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BF
BATES FINANCIAL ADVISORS, INC.
BATES FINANCIAL ADVISORS, INC. | GEORGE E. BATES & ASSOCIATES, INC.
CRD#: 116515 / SEC#: 801-72191
RIA
Registered Investment Advisory firm - (2/28/2011 Approved)Michigan
Registered Investment Advisory firm - (4/9/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/12/2003)
RR
Alaska(9/12/2011)
RR
Arizona(3/4/1998)
IAR
Arizona(11/4/2021)
RR
Arkansas(10/9/1997)
RR
California(10/24/2005)
RR
Colorado(9/15/1999)
RR
District of Columbia(3/5/2020)
RR
Florida(3/30/1994)
RR
Georgia(12/22/1994)
RR
Illinois(1/4/1983)
IAR
Illinois(5/24/1998)
RR
Indiana(7/24/1996)
RR
Iowa(12/22/1994)
RR
Kansas(10/9/2000)
RR
Kentucky(1/18/2005)
RR
Maine(8/17/1998)
RR
Maryland(8/14/1998)
RR
Michigan(9/26/1995)
RR
Minnesota(3/26/1997)
RR
Mississippi(3/25/1996)
RR
Missouri(9/23/1988)
RR
Montana(2/25/2021)
RR
New Jersey(5/21/2015)
RR
New Mexico(11/8/2005)
RR
North Carolina(5/28/1999)
RR
Ohio(1/2/1996)
RR
Oregon(8/17/1998)
RR
Pennsylvania(4/12/1994)
RR
South Carolina(9/16/2008)
RR
Tennessee(10/1/1999)
RR
Texas(2/26/1998)
IAR
Texas(4/8/2020)
RR
Utah(4/8/2020)
RR
Virginia(8/12/2009)
RR
Wisconsin(12/7/1992)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/23/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BF
BATES FINANCIAL ADVISORS, INC.
BATES FINANCIAL ADVISORS, INC. | GEORGE E. BATES & ASSOCIATES, INC.
CRD#: 116515 / SEC#: 801-72191
RIA
Registered Investment Advisory firm - (2/28/2011 Approved)Michigan
Registered Investment Advisory firm - (4/9/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8437 Northern Ave, Rockford, IL 61107
Mailing Address
Phone number
(815) 332-4020
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,355 |
| AUM (Assets Under Management) | $ 395,625,847 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BATES FINANCIAL ADVISORS, INC.
CRD#: 116515Rockford, IL 61107TRUST BUT VERIFY
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Contact information
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