George Bates has been Managing Principal, Chief Compliance Officer of Bates Financial Advisors since October 2025, is a control person of the firm and directly owns under 5% 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.
- – present · 6 yearsAustin, TX · Adviser representative · Firm CRD 116515
Investment adviser representative registrations
George Bates is registered as an investment adviser representative in 5 states. The first approvals date from October 2020; the most recent is Florida, in March 2026.
- ArizonaSince 4 February 2026
- FloridaSince 20 March 2026
- IllinoisSince 8 October 2020
- TexasSince 8 October 2020
- WisconsinSince 8 October 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 10 July 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 4 December 1998 |
| Series 24 | General Securities Principal Examination | 22 November 1994 |
| Series 27 | Financial and Operations Principal Examination | 22 March 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 December 1991 |
| Series 7 | General Securities Representative Examination | 19 July 1986 |
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- George Douglas Bates
- CRD
- 1539381
- Firm
- Bates Financial Advisors · CRD 116515
- Role
- Managing Principal, Chief Compliance Officer
- Office
- 2802 Flintrock Trace #B107, Austin, TX 78738
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 1990
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does George Bates work?
George Bates has been Managing Principal, Chief Compliance Officer of Bates Financial Advisors, Inc. since October 2025, and is a control person of the firm.
Is George Bates a financial advisor?
Yes. George Bates has a current investment-adviser registration in Arizona, Florida, Illinois, Texas and Wisconsin, through Bates Financial Advisors since October 2020.
How many years of experience does George Bates have?
George Bates has 36 years in the financial industry, since June 1990, across 1 adviser firm.
What exams has George Bates passed?
George Bates has passed 8 licensing exams: the Series 7, Series 63, Series 27, Series 24, Series 65, Series 53, Series 52TO and Series 99TO. The earliest, the Series 7, was passed in July 1986. FINRA credited George Bates with the SIE, which began in October 2018.
Where is George Bates based?
George Bates’ registered office is in Austin, TX.
Is George Bates registered with FINRA?
Yes. George Bates has a current broker registration, under CRD 1539381.
Source: FINRA BrokerCheck
How can I verify George Bates’ record?
Search CRD 1539381 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish George Bates’ full registration record.