BATES FINANCIAL ADVISORS, INC.
CRD #116515 SEC #801-72191 ROCKFORD, IL 815-332-4020
SEC Registered
Total AUM
$395.6M
Discretionary
$394.7M
Employees
7
Clients
26
Accounts
1,355
Firm Details
- Organization Type
- Corporation
- State of Formation
- Illinois
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 30, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, CAROL, EVELINE | I | SECRETARY | NA | |
| BATES, GEORGE, DOUGLAS | I | MANAGING PRINCIPAL, CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| Budd, Thomas, David | I | VICE PRESIDENT | NA | |
| Budd, Thomas, David | I | VICE PRESIDENT | NA | |
| Budd, Thomas, David | I | VICE PRESIDENT | NA | |
| Budd, Thomas, David | I | VICE PRESIDENT | NA | |
| CARLSON, CYNTHIA, MARIE | I | EXECUTIVE VICE PRESIDENT | NA | |
| CARLSON, CYNTHIA, MARIE | I | EXECUTIVE VICE PRESIDENT | NA | |
| CARLSON, CYNTHIA, MARIE | I | EXECUTIVE VICE PRESIDENT | NA | |
| Carber, Catherine | I | TREASURER | NA | |
| Carber, Catherine | I | TREASURER | NA | |
| Carber, Catherine | I | TREASURER | NA | |
| Gipple, Todd, Alan | I | VICE PRESIDENT | NA | |
| Gipple, Todd, Alan | I | VICE PRESIDENT | NA | |
| Gipple, Todd, Alan | I | VICE PRESIDENT | NA | |
| Gipple, Todd, Alan | I | VICE PRESIDENT | NA | |
| Gipple, Todd, Alan | I | VICE PRESIDENT | NA | |
| Gipple, Todd, Alan | I | VICE PRESIDENT | NA | |
| Gipple, Todd, Alan | I | VICE PRESIDENT | NA | |
| HANSBERRY, JAMES, MICHAEL | I | VICE PRESIDENT | NA | |
| HANSBERRY, JAMES, MICHAEL | I | VICE PRESIDENT | NA | |
| HANSBERRY, JAMES, MICHAEL | I | VICE PRESIDENT | NA | |
| HANSBERRY, JAMES, MICHAEL | I | VICE PRESIDENT | NA | |
| Helling, Larry, Joseph | I | SECRETARY | NA | |
| Helling, Larry, Joseph | I | SECRETARY | NA | |
| Helling, Larry, Joseph | I | SECRETARY | NA | |
| Helling, Larry, Joseph | I | SECRETARY | NA | |
| Helling, Larry, Joseph | I | SECRETARY | NA | |
| Helling, Larry, Joseph | I | SECRETARY | NA | |
| Helling, Larry, Joseph | I | SECRETARY | NA | |
| SANDERS, AMBER, MEGAN | I | TREASURER | NA | |
| SANDERS, AMBER, MEGAN | I | TREASURER | NA | |
| SANDERS, AMBER, MEGAN | I | TREASURER | NA | |
| SANDERS, AMBER, MEGAN | I | TREASURER | NA | |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| BATES, GEORGE, ERNEST | I | PRESIDENT | E | Control |
| QCR HOLDINGS, INC. | DE | OWNER | E | Control |
| QCR HOLDINGS, INC. | DE | OWNER | E | Control |
| QCR HOLDINGS, INC. | DE | OWNER | E | Control |
| QCR HOLDINGS, INC. | DE | OWNER | E | Control |
| QCR HOLDINGS, INC. | DE | OWNER | E | Control |
| QCR HOLDINGS, INC. | DE | OWNER | E | Control |
| QCR HOLDINGS, INC. | DE | OWNER | E | Control |
Registrations
Federal
IA
Oct 30, 2025 REGISTERED
Notice Filings (12)
AZ CA CO FL IA IL IN MI MO TN TX WI
Address
8437 NORTHERN AVEROCKFORD, IL 61107
United States
Phone: 815-332-4020