Bates Securities, Inc.
Firm details
- Headquarters
- Rockford, Illinois
- CRD number
- 10759
- Registered since
- September 16, 1982
Firm profile
FINTRXOverview
Bates Securities, Inc. is a corporation registered with the SEC since 1982 and appears to operate under individual ownership. FINTRX classifies the firm as unclassified and notes it is not a capital allocator. The profile indicates Bates Securities does not identify as an active ESG investor and is not registered as a multi-state adviser. Other advisory roles such as pension consulting or related-adviser status are not indicated.
Assets & Accounts
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Owners & executives
1 of 1
George Bates
President, Chief Compliance OfficerCRD 14642
Contacts
3 of 5Richard Mattera
FinOpCRD 2246513
Carol Bates
SecretaryCRD 1463859
George Bates
Investment Advisor RepresentativeCRD 1539381
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
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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