John W. Wimbiscus

BATES FINANCIAL ADVISORS

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 2771598

Professional summary

John William Wimbiscus, CFP®, who also goes by John Wimbiscus, is a registered financial advisor currently at BATES FINANCIAL ADVISORS, INC. located in Chicago, Illinois.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. John has worked at 3 firms and has passed the Series 65 and Series 2 exams.

Core Areas of Focus

Corporate Executives

High Net Worth Client Needs

Investment Advice with Ongoing Management

Retirement Plan Investment Advice

Retirement Planning & Distribution Rules

Tax Planning

Question & Answer

What are your service offerings?

Employee and Employer Plan Ben...

Investment Planning

Comprehensive Financial Planni...

Estate Planning

Insurance Planning

Retirement Planning

Tax Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

John Wimbiscus

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John William Wimbiscus's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

May 4, 2026 - Present

BATES FINANCIAL ADVISORS, INC.

Office #1: 444 W Lake St Suite 3300, Chicago, IL 60606

RIA

CRD#: 116515

Chicago, IL

Past

February 3, 2021 - November 24, 2023

THE MATHER GROUP, LLC

RIA

CRD#: 156005

CHICAGO, IL

Past

September 16, 1999 - February 2, 2021

TRINITY FINANCIAL ADVISORS LLC

RIA

CRD#: 111681

CHICAGO, IL

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".

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)

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.

Highlighted states indicate IAR registrations

IAR

California
(5/4/2026)

IAR

Colorado
(5/4/2026)

IAR

Illinois
(5/4/2026)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/15/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 2

Date: 6/28/1996

Non-Member General Securities Examination

Current Firm

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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GEORGE E. BATES - ADV PART 2B (10/30/2025)

BATES FINANCIAL ADVISORS, INC. PART 2A BROCHURE (10/30/2025)

Regulatory assets under management

Total Number of Accounts	1,355
AUM (Assets Under Management)	$ 395,625,847

Red Flags

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John W. Wimbiscus

Professional summary

Core Areas of Focus

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John William Wimbiscus's CRS (Customer Relationship Summary).

Certified licenses

Experience

BATES FINANCIAL ADVISORS, INC.

THE MATHER GROUP, LLC

TRINITY FINANCIAL ADVISORS LLC

Primary Firm SEC Registration

BATES FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/1996

Series 2

Date: 6/28/1996

Current Firm

BATES FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BATES FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors