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Matthew D. Bates

BATES SECURITIES
ROCKFORD, IL 61107
CRD#: 8175351
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MB
Matthew Douglas BatesBATES SECURITIES

Professional summary

Matthew Douglas Bates is a registered financial professional currently at BATES SECURITIES, INC. located in Rockford, Illinois.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2026. Matthew has worked at 1 firm and has passed the Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

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

April 3, 2026 - Present

BATES SECURITIES, INC.

Office #1: 8437 Northern Ave, Rockford, IL 61107
BD
CRD#: 10759
ROCKFORD, IL

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

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

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 (23 States and Territories)

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#: 10759Rockford, IL 61107

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