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Matthew D. Bates

BATES FINANCIAL ADVISORS
ROCKFORD, IL 61107
Some features on this profile are disabled
CRD#: 8175351
MB
Matthew Douglas BatesBATES FINANCIAL ADVISORS

Professional summary

Matthew Douglas Bates is a registered financial advisor currently at BATES FINANCIAL ADVISORS, INC. located in Rockford, Illinois and BATES SECURITIES, INC. located in Rockford, Illinois.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2026. Matthew has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

None

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 Matthew Douglas Bates'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®
None

Experience

Current

July 3, 2026 - Present

BATES FINANCIAL ADVISORS, INC.

Office #1: 8437 Northern Ave, Rockford, IL 61107
RIA
CRD#: 116515
ROCKFORD, IL
Current

April 3, 2026 - Present

BATES SECURITIES, INC.

Office #1: 8437 Northern Ave, Rockford, IL 61107
BD
CRD#: 10759
ROCKFORD, 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".
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
Illinois
(7/3/2026)
IAR
Illinois
(7/3/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/3/2026
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/3/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/11/2025
Securities Industry Essentials Examination
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)
Loading...

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 (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 Accounts1,355
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.

Company Information

BATES FINANCIAL ADVISORS, INC.

CRD#: 116515Rockford, IL 61107

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