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George Ernest Bates

BATES FINANCIAL ADVISORS, INC.·ROCKFORD, Illinois
SIE, Series 1, Series 7TO, Series 14, Series 24, Series 52TO, Series 63, Series 99TOClean record28 years registeredBATES FINANCIAL ADVISORS, INC.
8437 NORTHERN AVE, ROCKFORD, IL 61107CRD# 14642Firm CRD# 116515

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
George Ernest Bates · ROCKFORD, IL
Registration
CRD #14642 · BATES FINANCIAL ADVISORS, INC. · 28 years registered
Brand Profile
Not yet started
01

Career History

BATES FINANCIAL ADVISORS, INC.
May 1998 – present
02

Registrations & Exams

FINRA examinations passed
SIE
Series 1
Series 7TO
Series 14
Series 24
Series 52TO
Series 63
Series 99TO
Registration record
First registered · May 24, 1998
Years registered · 28
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
BATES FINANCIAL ADVISORS, INC.
CRD 116515 · SEC 801-72191
AUM
$430M
Regulatory assets under management
Employees
9
1,764 client accounts
Services offered by BATES FINANCIAL ADVISORS, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at BATES FINANCIAL ADVISORS, INC. →
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05

Frequently Asked Questions

What services does George Ernest Bates offer?
George Ernest Bates specializes in Financial Planning, Investment Management. Contact their office in ROCKFORD, Illinois for a consultation.
What are George Ernest Bates's credentials?
George Ernest Bates is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is George Ernest Bates located?
George Ernest 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 George Ernest Bates charge for services?
George Ernest 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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