Bates Securities, Inc.

Overview

Bates Securities, Inc. is a Broker Dealer based in Rockford, IL, formed in 1982 in Illinois. Its 4 registered representatives work across 2 branch offices in 2 states.

Registered reps

4

Branch offices

2

Formed

1982

Jurisdictions

23

Contact

1 phone number on file

Practice

Products and services

• Insurance
• Municipal Securities Broker
• Mutual Fund/Retailer
• Mutual Funds
• Non-Enchange Member Transactions
• Retirement/Pension Products
• Variable Life Insurance & Annuities

Executive officers 3 of 3

• George Ernest Bates President CRD 14642
• George Douglas Bates Managing Partner, Chief Compliance Officer CRD 1539381
• Carol Eveline Bates Secretary CRD 1463859

Registered reps 3 of 4

• George E Bates Insurance Agent · Registered Rep · Investment Adviser Rep CRD 14642
• George D Bates Insurance Agent · Registered Rep · Investment Adviser Rep CRD 1539381
• Matthew Douglas Bates Registered Rep · Investment Adviser Rep CRD 8175351

1 more registered rep, with emails, phones and branch locations

Location

Headquarters

8437 Northern Ave
Rockford, IL 61107

County

Winnebago

Metro area

Rockford, IL

Region

Midwest

Branch offices

2 in 2 states, including Austin, TX

Registrations

• FINRA member, corporation formed in Illinois
• Registered in 23 jurisdictions
• Website: batesfinancialadvisors.com

Every state, with registration dates

Similar firms near Rockford

• State Farm VP Management Corp.Bloomington, IL8,163 reps
• William BlairChicago, IL1,298 reps
• Cetera Financial Specialists LLCSchaumburg, IL970 reps
• Bankers Life Securities, Inc.Chicago, IL871 reps
• Country Capital Management CompanyBloomington, IL855 reps