George Bates is a registered investment advisor at Bates Financial Advisors, INC., based in Rockford, IL. George is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 399 clients with $440M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Bates Financial Advisors manages investment portfolios for a fee based on a percentage of the value of your portfolio, generally ranging from 0.25% to 1.00% per year. There is a $100,000 minimum to use this service, but this may be negotiable. There is also a $175 minimum quarterly fee.
Location
8437 Northern Ave, Rockford, IL, 61107
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Regulatory 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 →Employment History
Current Registrations
Bates Securities, INC.Broker
Bates Financial Advisors, INC.
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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