John Wimbiscus has been an investment adviser representative at Bates Financial Advisors since May 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.
John Wimbiscus’ longest registration was 21 years at Trinity Financial Advisors LLC (1999–2021). Before joining Bates Financial Advisors in 2026, John Wimbiscus was registered through The Mather Group, LLC and Trinity Financial Advisors LLC.
- Hightower Advisors, LLCAlso current– present · under a yearChicago, IL · Adviser representative · Firm CRD 145323
- – present · under a yearChicago, IL · Adviser representative · Firm CRD 116515
- The Mather Group, LLC– · 2 yearsChicago, IL · Adviser representative · Firm CRD 156005
- Trinity Financial Advisors LLC– · 21 yearsChicago, IL · Adviser representative · Firm CRD 111681
Investment adviser representative registrations
John Wimbiscus is registered as an investment adviser representative in 4 states. The first approvals date from May 2026; the most recent is Connecticut, in June 2026.
- CaliforniaSince 4 May 2026
- ColoradoSince 4 May 2026
- ConnecticutSince 25 June 2026
- IllinoisSince 4 May 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 15 August 1996 |
| Series 2 | Non-Member General Securities Examination | 28 June 1996 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Non-Member General Securities Examination
- Full name
- John William Wimbiscus
- CRD
- 2771598
- Firm
- Bates Financial Advisors · CRD 116515
- Office
- 444 W Lake St, Suite 1700, Chicago, IL 60606
- Registration
- Investment adviser registration
- In the industry since
- February 2002
- Disciplinary history
- Not yet shown here · SEC record
Where does John Wimbiscus work?
John Wimbiscus is an investment adviser representative registered through Bates Financial Advisors, Inc. since May 2026, and is not listed among the firm’s executive officers or direct owners.
Is John Wimbiscus a financial advisor?
Yes. John Wimbiscus has a current investment-adviser registration in California, Colorado, Connecticut and Illinois, through Bates Financial Advisors since May 2026.
How many years of experience does John Wimbiscus have?
John Wimbiscus has 24 years in the financial industry, since February 2002, across 4 adviser firms.
What exams has John Wimbiscus passed?
John Wimbiscus has passed 2 licensing exams: the Series 2 and Series 65. The earliest, the Series 2, was passed in June 1996.
Where did John Wimbiscus work before Bates Financial Advisors?
Before Bates Financial Advisors, John Wimbiscus was registered through The Mather Group, LLC, February 2021 to November 2023; Trinity Financial Advisors LLC, September 1999 to February 2021.
Where is John Wimbiscus based?
John Wimbiscus’ registered office is in Chicago, IL.
Is John Wimbiscus registered with FINRA?
No. John Wimbiscus has no current broker registration.
How can I verify John Wimbiscus’ record?
Search CRD 2771598 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Wimbiscus’ full registration record.