GB
CFP
GB
CFP

George Douglas Bates

35 Years of Experience
Broker
Areas of Practice
Investment ManagementInsurance Planning
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
427 clients
Average Client Portfolio
$927K average
Assets Under Management
$395.6M
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Location

8437 Northern Ave, Rockford, IL, 61107

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History

Regulatory History
Clean regulatory record

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.

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Other Business Activities

George works for three affiliates of Bates Securities, Inc. He is also a licensed attorney, spending minimal time on legal work. Additionally, George is the Managing Member of Global Proppant Supply LLC and ASG Holdings LLC, dedicating nearly full-time hours to Global Proppant Supply and minimal time to ASG Holdings.

Employment History
Current Registrations
Bates Financial Advisors, INC.
October 2020 - Present · 5 yrs 4 mos
Bates Securities, INC.Broker
October 2020 - Present · 5 yrs 4 mos
Bates Securities, INC.
October 2020 - Present · 5 yrs 4 mos
Previous Registrations
Bates Securities, INC.Broker
March 2016 - November 2018 · 2 yrs 8 mos
Bates Financial Advisors, INC.
December 2015 - December 2017 · 2 yrs
Bates Financial Advisors, INC.
December 1998 - January 2014 · 15 yrs 1 mo
Bates Securities, INC.Broker
August 1986 - January 2014 · 27 yrs 5 mos
State Registrations3 states
ILTXWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
George Douglas Bates - Financial Advisor | TrueAdvisor