George Bates has been President of Bates Financial Advisors since September 1984, is a control person of the firm and directly owns 75% or more of it.
Bates Financial Advisors, Inc. is a Rockford, IL firm with $439M under management, 399 clients and 5 advisers in one office, as of its June 2026 filing.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 7TO | General Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 3 August 1988 |
| Series 24 | General Securities Principal Examination | 27 July 1982 |
| Series 1 | Registered Representative Examination | 23 August 1972 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Municipal Securities Representative Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Registered Representative Examination
- Full name
- George Ernest Bates
- CRD
- 14642
- Firm
- Bates Financial Advisors · CRD 116515
- Role
- President
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does George Bates work?
George Bates has been President of Bates Financial Advisors, Inc. since September 1984, and is a control person of the firm.
Does George Bates have a current investment-adviser registration?
George Bates has no current investment-adviser or broker registration.
What exams has George Bates passed?
George Bates has passed 7 licensing exams: the Series 1, Series 24, Series 63, Series 14, Series 99TO, Series 52TO and Series 7TO. The earliest, the Series 1, was passed in August 1972. FINRA credited George Bates with the SIE, which began in October 2018.
Where was George Bates previously registered as an investment adviser?
George Bates has past investment-adviser registrations through Bates Financial Advisors, Inc., May 1998 to September 2026, across 1 firm.
Is George Bates registered with FINRA?
No. George Bates has no current broker registration.
How can I verify George Bates’ record?
Search CRD 14642 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes George Bates’ full registration record.