George Douglas Bates

Current Employers

Employment History

• 11/1980 → 10/2018
  Bates Enterprises
  Rockford, IL
• 12/2015 → 10/2018
  Bates Securities, Inc.
  Rockford, IL
• 10/2020 → Present
  Bates Financial Advisors, Inc.
  Rockford, IL
• 10/2020 → Present
  Bates Securities, Inc.
  Rockford, IL
• 10/2020 → Present
  Bates Financial Group, Inc.
  Rockford, IL
• 04/2013 → 12/2025
  Asg Holdings, Llc
  Austin, TX
• 02/2013 → Present
  Global Proppant Supply Llc
  Austin, TX
• 12/2015 → 10/2018
  Bates Financial Group, Inc.
  Rockford, IL

Previous Registrations

• 2015-12-23 → 2017-12-31
  Bates Financial Advisors, Inc.
  Rockford, IL
• 1998-12-10 → 2014-01-02
  Bates Financial Advisors, Inc.
  Rockford, IL
  Rockford, IL

Other Businesses

1) I WORK FOR THREE AFFILIATES OF BATES SECURITIES, INC.: BATES FINANCIAL ADVISORS, INC. (REGISTERED INVESTMENT ADVISOR), AND BATES FINANCIAL GROUP, INC. (OPERATIONS COMPANY). ALL COMPANIES ARE INVESTMENT-RELATED AND OPERATE FROM 8437 NORTHERN AVE, ROCKFORD, IL 61107. 2) ATTORNEY - I AM AN LICENSED ATTORNEY IN ILLINOIS AND VARIOUS FEDERAL COURTS. I EXPECT TO RECEIVE INCOME IN THE FUTURE. MY TIME VARIES BASED ON THE WORK I DECIDE TO ACCEPT. I USE MY RESIDENTIAL ADDRESS FOR ALL SUCH LEGAL WORK. I EXPECT TO CONDUCT SUCH WORK NO MORE THAN 10 HOURS PER MONTH. SOME OF THIS WORK MAY BE INVOLVED DURING SECURITIES TRADING HOURS. AT TIMES, MY LEGAL DUTIES MAY BE SHARED BY CO-COUNSEL, BUT TO MY KNOWLEDGE CO-COUNSEL IS NOT ASSOCIATED IN ANY CAPACITY WITH THE SECURITIES INDUSTRY. I MAY ACT AS TRUSTEE FOR TRUST ACCOUNTS OUTSIDE OF THE SCOPE OF MY RELATIONSHIP WITH BATES SECURITIES. 3) I am the Managing Member of Global Proppant Supply LLC. It is a Wisconsin LLC engaged in the development of its second frac sand project in Juneau County WI. It has no relation to any Bates companies (BSI, BFA, BFG or other business endeavors of George E. Bates). This company will likely take as much as 200 hours monthly. This relationship began in Feb 2013. As the Managing Member with no current employees I am responsible for all activities of LLC. I currently operate this LLC from an office in Austin TX.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-12-04
• S63 Uniform Securities Agent State Law Examination
  1991-12-31