Unclaimed Profile

Carol Eveline Bates

BATES FINANCIAL ADVISORS, INC.·ROCKFORD, Illinois

Clean recordBATES FINANCIAL ADVISORS, INC.

8437 NORTHERN AVE, ROCKFORD, IL 61107CRD# 1463859Firm CRD# 116515

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Carol Eveline Bates · ROCKFORD, IL

Registration

CRD #1463859 · BATES FINANCIAL ADVISORS, INC.

Brand Profile

Not yet started

Disclosure history

Clean record · no disclosure events on file

About

Carol Eveline Bates is a registered financial advisor based in ROCKFORD, Illinois, affiliated with BATES FINANCIAL ADVISORS, INC.. This profile is generated from public SEC and FINRA registration data.

Focus Areas

Specialties

Financial Planning

Investment Management

Client Types

Individuals

High Net Worth Individuals

Introduction

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Firm Overview

Firm

BATES FINANCIAL ADVISORS, INC.

AUM

$430M

Regulatory assets under management

Employees

Total firm employees

View all advisors at BATES FINANCIAL ADVISORS, INC. →

Services

Financial planning

Portfolio management (individuals)

Background

Compensation

Percentage of AUM

Subscription fees

Regulatory

SEC/IARD CRD# 1463859

Firm CRD# 116515

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Frequently Asked Questions

What services does Carol Eveline Bates offer?

Carol Eveline Bates specializes in Financial Planning, Investment Management. Contact their office in ROCKFORD, Illinois for a consultation.

What are Carol Eveline Bates's credentials?

Carol Eveline Bates is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Carol Eveline Bates located?

Carol Eveline Bates is based in ROCKFORD, Illinois, working with BATES FINANCIAL ADVISORS, INC.. Their office serves clients in the ROCKFORD metropolitan area and surrounding communities.

How does Carol Eveline Bates charge for services?

Carol Eveline Bates's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BATES FINANCIAL ADVISORS, INC.?

BATES FINANCIAL ADVISORS, INC. has approximately 9 employees and manages $430M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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