Bates Securities, Inc.

Broker-DealerFINRA MemberEst. 1982
Total AUM
Advisory reps
6
Avg account
$0

Firm details

Headquarters
Rockford, Illinois
CRD number
10759
Registered since
September 16, 1982

Firm profile

FINTRX

Overview

Bates Securities, Inc. is organized as a corporation and appears in SEC records dating back to 1982. Ownership is listed as individual rather than institutional or corporate control, and the firm is classified as unclassified in the available snapshot. Publicly visible attributes indicate it is not positioned as a capital allocator and it does not identify as an active ESG investor. The firm’s profile does not include detail on client types, advisory services, fee schedules, or specific business activities in the source data provided. It also does not identify as a multi-state adviser, a pension consultant, a related adviser, or a newly formed adviser.

Assets & Accounts

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Owners & executives

1 of 1
  • George Bates

    George Bates

    President, Chief Compliance OfficerCRD 14642

Contacts

3 of 5
  • Richard Mattera

    FinOpCRD 2246513

  • Carol Bates

    SecretaryCRD 1463859

  • George Bates

    George Bates

    Investment Advisor RepresentativeCRD 1539381

Unlock 2 more contacts

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Rockford, IL

Winnebago

Location

Rockford, IL

Headquartered in Rockford, IL, anchoring the Rockford-Freeport-Rochelle, IL metro in the Midwest.

Metro area
Rockford-Freeport-Rochelle, IL
Region
Midwest
County
Winnebago
Address
8437 Northern Ave
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth