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2687 44Th Street Se, Kentwood, MI 49512 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-01-06 |
Branch Locations
2687 44Th Street Se, Kentwood, MI 49512 • United States
Capron, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bates Securities, Inc. | Rockford | IL | 10/2013 | 09/2016 |
| Robert W. Baird | Rockford | IL | 09/2016 | 02/2019 |
| Bates Securities, Inc. | Rockford | IL | 02/2019 | 01/2021 |
| Bates Financial Advisors, Inc. | Rockford | IL | 02/2019 | 01/2021 |
| Morgan Stanley | Rockford | IL | 02/2021 | 01/2022 |
| Regulus Financial Group, Llc | Kentwood | MI | 01/2022 | Present |
| Regal Investment Advisors, Llc | Kentwood | MI | 01/2022 | Present |
*424431 - RPFab, LLC; Investment related No; Marengo, IL; Retail/Online Stores; Partner (proprietor, partner, officer, director, employee, trustee, agent); 08/2019; During business hours: 0+; After business hours: 8; Accounting/Bookkeeping
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-10-12 |
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