Matthew Bates has been an investment adviser representative at Bates Financial Advisors since July 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
Matthew Bates is registered as an investment adviser representative in Illinois, since July 2026.
- IllinoisSince 3 July 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 3 July 2026 |
| Series 7TO | General Securities Representative Examination | 3 April 2026 |
| SIE | Securities Industry Essentials Examination | 11 November 2025 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Matthew Douglas Bates
- CRD
- 8175351
- Firm
- Bates Financial Advisors · CRD 116515
- Office
- 8437 NORTHERN AVE, Rockford, IL 61107
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 2026
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Matthew Bates work?
Matthew Bates is an investment adviser representative registered through Bates Financial Advisors, Inc. since July 2026, and is not listed among the firm’s executive officers or direct owners.
Is Matthew Bates a financial advisor?
Yes. Matthew Bates has a current investment-adviser registration in Illinois, through Bates Financial Advisors since July 2026.
How many years of experience does Matthew Bates have?
Matthew Bates has 0 years in the financial industry, since April 2026, across 1 adviser firm.
What exams has Matthew Bates passed?
Matthew Bates has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in November 2025.
Where is Matthew Bates based?
Matthew Bates’ registered office is in Rockford, IL.
Is Matthew Bates registered with FINRA?
Yes. Matthew Bates has a current broker registration, under CRD 8175351.
Source: FINRA BrokerCheck
How can I verify Matthew Bates’ record?
Search CRD 8175351 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Matthew Bates’ full registration record.