Full text of BATES SECURITIES, INC.'s X-17A-5 filed 2022-05-02 (period 2022-01-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | | SEC FILE NUMBER | |--|-----------------| **8-29005** **FACING PAGE** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|-----------------------------------------|--------------------------------------------------------------------------|--------------------------------------------| | FILING FOR THE PERIOD BEGINNING | ___ 2I<br>___<br>1<br>1I<br>2<br>02_<br>_<br>_<br>_ | AND ENDING | __<br>___<br>2<br>2<br>3<br>20_<br>11_<br>11_<br>_<br>_<br>_<br>MM/DD/VY | | | | MM/DD/VY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | Bates Securities, Inc.<br>NAME OF FIRM: | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Check here If respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 8437 Northern Avenue | | | | | | | (No. and Street) | | | | | Rockford | IL | | 61107 | | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | George E. Bates | 815-332-4020 | | | gebates@batessecurities.com | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Bauer & Company | | | | | | | (Name- if individual, state last, first, and middle name) | | | | | P.O. Box 27887 | Austin | | TX | 78755 | | (Address) | (City) | (State) | | (Zip Code) | | 11/20/2014 | | 6072 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | * Clalms for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable…Read the full text as markdown