George Bates (CRD# 1539381) is an Investment Advisor Representative working at Bates Financial Advisors, Inc. in Rockford, IL and has over 32 years of experience in the finance industry. George Bates has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
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Company Name | Location | Dates | Years |
---|---|---|---|
Bates Financial Advisors, Inc. | Rockford, IL | Oct 2020 - Current | 3 |
Bates Securities, Inc. | Rockford, IL | Oct 2020 - Current | 3 |
Bates Financial Group, Inc. | Rockford, IL | Oct 2020 - Current | 3 |
Asg Holdings, LLC | Brookfield, WI | Apr 2013 - Current | 11 |
Global Proppant Supply LLC | Brookfield, WI | Feb 2013 - Current | 11 |
Bates Securities, Inc. | Rockford, IL | Dec 2015 - Oct 2018 | 2 |
Bates Financial Group, Inc. | Rockford, IL | Dec 2015 - Oct 2018 | 2 |
Bates Enterprises | Rockford, IL | Nov 1980 - Oct 2018 | 37 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Dec 1991 |
S65 | NASAA Investment Advisors Law Examination | Dec 1998 |
- IL
- TX
- WI
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Total Assets Under Management430MILLIONS
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Total Number of Accounts1,764ACCOUNTS
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Average Account Value$243,992
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
AZ, CA, CO, FL, IA, IL, IN, MI, MO, TN, TX, WI
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