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For Advisors
CA

Cheri D. Adair

Some features on this profile are disabled
CRD#: 4242567
CA

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Cheri Dianne Adair, who also goes by Cheri Adair, Cheri Dianne Benson, Cheri Dianne Stanley, was a registered financial professional .

Cheri is a previously registered financial professional and started their career in finance in 2000. Cheri had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cheri Adair | Cheri Dianne Benson | Cheri Dianne Stanley

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 25, 2017 - August 20, 2020

BATES SECURITIES, INC.

BD
CRD#: 10759
ROCKFORD, IL
Past

December 15, 2015 - May 6, 2016

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
LOVES PARK, IL
Past

November 4, 2014 - May 26, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
BELOIT, WI
Past

November 4, 2014 - May 26, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

September 27, 2011 - December 31, 2013

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
BELOIT, WI
Past

September 27, 2011 - October 1, 2014

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
BELOIT, WI
Past

September 30, 2009 - September 13, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
BELOIT, WI
Past

March 24, 2006 - October 2, 2009

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
JANESVILLE, WI
Past

March 24, 2006 - October 2, 2009

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
JANESVILLE, WI
Past

August 3, 2000 - February 24, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/6/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/9/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/2/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BS
BATES SECURITIES, INC.
BATES SECURITIES, INC.

CRD#: 10759 / SEC#: , 8-29005

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
8437 Northern Ave, Rockford, IL 61107
Mailing Address
8437 Northern Ave, Rockford, IL 61107
Phone number
(815) 332-4020
Established
Illinois since 06/07/1982
Firm type
Corporation
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BATES, GEORGE ERNESTPRESIDENT14642
BATES, CAROL EVELINESECRETARY1463859
BATES, GEORGE DOUGLASMANAGING PARTNER, CCO1539381

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.

Company Information

BATES SECURITIES, INC.

CRD#: 10759

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