AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
GB

George Douglas Bates

BATES FINANCIAL ADVISORS
Austin, TX
·CRD# 1539381·40 years experience

Professional Summary

George Douglas Bates is a registered financial advisor currently at BATES FINANCIAL ADVISORS, INC. located in Austin, Texas and BATES SECURITIES, INC. located in Austin, Texas. George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. George has worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 24 and Series 27...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

Similar Advisors

Jeffrey Glenn Weeks
Jeffrey Glenn Weeks

ATX PORTFOLIO ADVISORS, LLC

AUSTIN, TX · CRD#
View profile
Eric Scott Pomerantz
Eric Scott Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

AUSTIN, TX · CRD#
RR
Ryan W Ruppert

MORGAN STANLEY

Austin, TX · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Jeffrey Glenn Weeks
Jeffrey Glenn Weeks

ATX PORTFOLIO ADVISORS, LLC

AUSTIN, TX · CRD#
Eric Scott Pomerantz
Eric Scott Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

AUSTIN, TX · CRD#
JR
James Andrew Rushing JR

VOYA FINANCIAL ADVISORS, INC.

AUSTIN, TX · CRD#
RR
Ryan W Ruppert

MORGAN STANLEY

Austin, TX · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

Jeffrey Glenn Weeks
Jeffrey Glenn Weeks

ATX PORTFOLIO ADVISORS, LLC

AUSTIN, TX · CRD#
Eric Scott Pomerantz
Eric Scott Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

AUSTIN, TX · CRD#
JR
James Andrew Rushing JR

VOYA FINANCIAL ADVISORS, INC.

AUSTIN, TX · CRD#
RR
Ryan W Ruppert

MORGAN STANLEY

Austin, TX · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Jeffrey Glenn Weeks
Jeffrey Glenn Weeks

ATX PORTFOLIO ADVISORS, LLC

AUSTIN, TX · CRD#
Eric Scott Pomerantz
Eric Scott Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

AUSTIN, TX · CRD#
JR
James Andrew Rushing JR

VOYA FINANCIAL ADVISORS, INC.

AUSTIN, TX · CRD#
RR
Ryan W Ruppert

MORGAN STANLEY

Austin, TX · CRD#

Years of Experience

40 years in the financial services industry

Current & Past Employments

BATES FINANCIAL ADVISORS, INC.·CRD# 116515
RIA
2802 Flintrock Trace #b107, Austin, TX 78738
October 8, 2020 - Present
BATES SECURITIES, INC.·CRD# 10759
BD
2802 Flintrock Trace #b107, Austin, TX 78738
October 8, 2020 - Present
BATES SECURITIES, INC.·CRD# 10759
BD
Rockford, IL
March 28, 2016 - November 29, 2018
BATES FINANCIAL ADVISORS, INC.·CRD# 116515
RIA
Rockford, IL
December 23, 2015 - December 31, 2017
BATES FINANCIAL ADVISORS, INC.·CRD# 116515
RIA
Rockford, IL
December 10, 1998 - January 2, 2014
BATES SECURITIES, INC.·CRD# 10759
BD
Rockford, IL
August 6, 1986 - January 2, 2014

Similar Advisors

Jeffrey Glenn Weeks
Jeffrey Glenn Weeks

ATX PORTFOLIO ADVISORS, LLC

AUSTIN, TX · CRD#
Eric Scott Pomerantz
Eric Scott Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

AUSTIN, TX · CRD#
JR
James Andrew Rushing JR

VOYA FINANCIAL ADVISORS, INC.

AUSTIN, TX · CRD#
RR
Ryan W Ruppert

MORGAN STANLEY

Austin, TX · CRD#

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 - SEC (2/28/2011 Approved)
Michigan
Registered Investment Advisory firm - Michigan (4/9/2018 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

8437 Northern Ave, Rockford, IL 61107

Phone Number

(815) 332-4020

# of Employees

5

SEC notice filing (12 States and Territories)

Registered to provide investment advisory services in 12 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GEORGE D BATES - ADV PART 2B (4/1/2026)

Regulatory Assets Under Management

Total Number of Accounts

1,273

AUM (Assets Under Management)

$439,211,752

Similar Advisors

Jeffrey Glenn Weeks
Jeffrey Glenn Weeks

ATX PORTFOLIO ADVISORS, LLC

AUSTIN, TX · CRD#
Eric Scott Pomerantz
Eric Scott Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

AUSTIN, TX · CRD#
JR
James Andrew Rushing JR

VOYA FINANCIAL ADVISORS, INC.

AUSTIN, TX · CRD#
RR
Ryan W Ruppert

MORGAN STANLEY

Austin, TX · CRD#

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) I WORK FOR THREE AFFILIATES OF BATES SECURITIES, INC.: BATES FINANCIAL ADVISORS, INC. (REGISTERED INVESTMENT ADVISOR), AND BATES FINANCIAL GROUP, INC. (OPERATIONS COMPANY). ALL COMPANIES ARE INVESTMENT-RELATED AND OPERATE FROM 8437 NORTHERN AVE, ROCKFORD, IL 61107. 2) ATTORNEY - I AM AN LICENSED ATTORNEY IN ILLINOIS AND VARIOUS FEDERAL COURTS. I EXPECT TO RECEIVE INCOME IN THE FUTURE. MY TIME VARIES BASED ON THE WORK I DECIDE TO ACCEPT. I USE MY RESIDENTIAL ADDRESS FOR ALL SUCH LEGAL WORK. I EXPECT TO CONDUCT SUCH WORK NO MORE THAN 10 HOURS PER MONTH. SOME OF THIS WORK MAY BE INVOLVED DURING SECURITIES TRADING HOURS. AT TIMES, MY LEGAL DUTIES MAY BE SHARED BY CO-COUNSEL, BUT TO MY KNOWLEDGE CO-COUNSEL IS NOT ASSOCIATED IN ANY CAPACITY WITH THE SECURITIES INDUSTRY. I MAY ACT AS TRUSTEE FOR TRUST ACCOUNTS OUTSIDE OF THE SCOPE OF MY RELATIONSHIP WITH BATES SECURITIES. 3) I am the Managing Member of Global Proppant Supply LLC. It is a Wisconsin LLC engaged in the development of its second frac sand project in Juneau County WI. It has no relation to any Bates companies (BSI, BFA, BFG or other business endeavors of George E. Bates). This company will likely take as much as 200 hours monthly. This relationship began in Feb 2013. As the Managing Member with no current employees I am responsible for all activities of LLC. I currently operate this LLC from an office in Austin TX.

Similar Advisors

Jeffrey Glenn Weeks
Jeffrey Glenn Weeks

ATX PORTFOLIO ADVISORS, LLC

AUSTIN, TX · CRD#
Eric Scott Pomerantz
Eric Scott Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

AUSTIN, TX · CRD#
JR
James Andrew Rushing JR

VOYA FINANCIAL ADVISORS, INC.

AUSTIN, TX · CRD#
RR
Ryan W Ruppert

MORGAN STANLEY

Austin, TX · CRD#

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 - SEC (2/28/2011 Approved)
Michigan
Registered Investment Advisory firm - Michigan (4/9/2018 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arizona
(1/21/2026)
IAR
Arizona
(2/4/2026)
RR
California
(1/21/2026)
RR
Colorado
(1/21/2026)
RR
Florida
(1/21/2026)
IAR
Florida
(3/20/2026)
RR
Georgia
(1/21/2026)
RR
Illinois
(10/8/2020)
IAR
Illinois
(10/8/2020)
RR
Indiana
(1/21/2026)
RR
Iowa
(1/21/2026)
RR
Kansas
(1/21/2026)
RR
Maine
(1/21/2026)
RR
Michigan
(1/21/2026)
RR
Minnesota
(1/21/2026)
RR
Missouri
(1/21/2026)
RR
New Mexico
(1/21/2026)
RR
North Carolina
(1/21/2026)
RR
Ohio
(1/22/2026)
RR
Oregon
(1/21/2026)
RR
Pennsylvania
(1/21/2026)
RR
South Carolina
(1/21/2026)
RR
Tennessee
(1/21/2026)
IAR
Texas
(10/8/2020)
RR
Texas
(1/21/2026)
RR
Virginia
(1/21/2026)
IAR
Wisconsin
(10/8/2020)
RR
Wisconsin
(1/21/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1998About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1991About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 1986About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Jul 2002About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Nov 1994About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Mar 1994About the Series 27 exam
FINRA
SRO Registrations

Similar Advisors

Jeffrey Glenn Weeks
Jeffrey Glenn Weeks

ATX PORTFOLIO ADVISORS, LLC

AUSTIN, TX · CRD#
Eric Scott Pomerantz
Eric Scott Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

AUSTIN, TX · CRD#
JR
James Andrew Rushing JR

VOYA FINANCIAL ADVISORS, INC.

AUSTIN, TX · CRD#
RR
Ryan W Ruppert

MORGAN STANLEY

Austin, TX · CRD#

CRS (Client Relationship Summary) - RIA

Click below to view George Douglas Bates's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

Jeffrey Glenn Weeks
Jeffrey Glenn Weeks

ATX PORTFOLIO ADVISORS, LLC

AUSTIN, TX · CRD#
Eric Scott Pomerantz
Eric Scott Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

AUSTIN, TX · CRD#
JR
James Andrew Rushing JR

VOYA FINANCIAL ADVISORS, INC.

AUSTIN, TX · CRD#
RR
Ryan W Ruppert

MORGAN STANLEY

Austin, TX · CRD#
GB
Follow George
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required