Firm Information
Compensation
Number of Advisors
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
George E. Bates may receive commissions from Bates Securities, Inc. for recommending and selling investment and insurance products. He may also receive 12b-1 fees from mutual funds. This creates a conflict of interest because he has an incentive to recommend products based on the compensation he receives rather than your needs.
Areas of Practice
Advisor Information
Office location
8437 Northern Ave, Rockford, IL, 61107
Get directionsRegulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
George is the owner, president, CCO, and advisor at Bates Financial Advisors, Inc., dedicating a significant amount of time as an investment advisor. He also owns Bates Financial Services, Inc. as an insurance agent, but spends minimal time on this activity, and is a racing horse partner at Bates Quarter Horses, spending about a quarter of his time on this activity. George is also the president of Guatemalan Children's Education and Relief Fund NFP, spending a few hours per week.