Carol Bates is not listed as a control person, but directly owns under 5% of Bates Financial Advisors.
Bates Financial Advisors is an investment adviser based in Rockford, IL, registered with the SEC since 2011. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients and charitable organizations. Its regulatory assets under management total $439 million, as filed on 25 June 2026. Its fees, ownership and offices are on the firm’s profile.
- CRD
- 1463859
- Firm
- Bates Financial Advisors · CRD 116515
- Role
- Secretary
- In role since
- August 2020 · 6 years
- Control person
- Not listed
- Direct ownership
- Under 5%
- Firm headquarters
- Rockford, IL
- Individual registration
- No current adviser record · SEC search
- Disciplinary history
- Not yet shown here · SEC record
Where does Carol Bates work?
Carol Bates has been Secretary of Bates Financial Advisors, Inc. since August 2020.
How can I verify Carol Bates’ record?
Carol Bates’ role is listed on Bates Financial Advisors, Inc.’s Form ADV, which the SEC’s adviser search (adviserinfo.sec.gov) publishes under the firm’s CRD 116515.