BATES SECURITIES, INC.
Firm details
- Headquarters
- ROCKFORD, Illinois
- CRD number
- 10759
- Registered since
- September 16, 1982
Firm profile
FINTRXOverview
Bates Securities, Inc. is structured as a corporation and has been SEC-registered since 1982. The firm is owned by an individual and is categorized in the dataset as "Unclassified." Public records in the dataset provide only limited operational detail. The information provided does indicate a few binary attributes: the firm is not identified as a capital allocator, is not an active ESG investor, is not listed as a multi-state adviser, and is not characterized as a pension consultant or related adviser. The dataset does not disclose the firm's advisory or business activities, investment philosophy, or client segments.
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 1GEORGE BATES
President, Chief Compliance OfficerCRD 14642
Contacts
3 of 4RICHARD 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
Similar firms
CALAMOS FINANCIAL SERVICES LLC
Broker-DealerNAPERVILLE, IL
WILLIAM BLAIR & COMPANY L.L.C.
Broker-DealerCHICAGO, IL
FCF SECURITIES AND DERIVATIVES LLC
Broker-DealerCHICAGO, IL
IMC SECURITIES LLC
Broker-DealerCHICAGO, IL
TD FINANCIAL PRODUCTS LLC
Broker-DealerCHICAGO, IL
WOLVERINE EXECUTION SERVICES, LLC
Broker-DealerCHICAGO, IL