George Bates has been an investment adviser representative at Bates Financial Advisors since September 2026, and is not listed among the firm’s executive officers or direct owners.
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 · under a yearRockford, IL · Adviser representative · Firm CRD 116515
Investment adviser representative registrations
George Bates is registered as an investment adviser representative in Illinois, since September 2026.
- IllinoisSince 1 September 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 1 September 2026 |
| Series 66 | Uniform Combined State Law Examination | 25 June 2026 |
| SIE | Securities Industry Essentials Examination | 24 November 2025 |
- Name
- General Securities Representative Examination
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Full name
- George Henry Bates
- CRD
- 5926713
- Firm
- Bates Financial Advisors · CRD 116515
- Office
- 8437 NORTHERN AVE, Rockford, IL 61107
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2026
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does George Bates work?
George Bates is an investment adviser representative registered through Bates Financial Advisors, Inc. since September 2026, and is not listed among the firm’s executive officers or direct owners.
Is George Bates a financial advisor?
Yes. George Bates has a current investment-adviser registration in Illinois, through Bates Financial Advisors since September 2026.
How many years of experience does George Bates have?
George Bates has 0 years in the financial industry, since August 2026, across 1 adviser firm.
What exams has George Bates passed?
George Bates has passed 3 licensing exams: the SIE, Series 66 and Series 7TO. The earliest, the SIE, was passed in November 2025.
Where is George Bates based?
George Bates’ registered office is in Rockford, IL.
Is George Bates registered with FINRA?
Yes. George Bates has a current broker registration, under CRD 5926713.
Source: FINRA BrokerCheck
How can I verify George Bates’ record?
Search CRD 5926713 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish George Bates’ full registration record.