Bates Financial Group, LLC.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Bates Financial Group provides financial planning, consulting, and educational seminars to a mix of clients that the brochure lists as individuals (including high‑net‑worth), trusts, estates, endowments, foundations, business entities and qualified plans. In addition to fee‑based planning and consulting, the firm’s registered representatives can transact brokerage and insurance business and assist clients with mortgages and other financial products.
The firm’s investment work typically relies on third‑party investment advisers and money managers for research, asset allocation guidance and securities recommendations, and it may recommend mutual funds, ETFs, variable annuity sub‑accounts, individual equities and fixed‑income securities. Bates describes both strategic (traditional) and tactical asset allocation approaches and may suggest focused or completion strategies, while monitoring accounts and providing at least annual reviews rather than exercising discretionary trading authority or holding client custody.
What is noteworthy about Bates is the combination of advisory services with broker‑dealer and insurance‑sales activity: the brochure describes registered representatives who may offer no‑charge individual consultations after seminars (seminar registration fees are cited as typically $10–$199) and whose product sales can generate commissions that the firm discloses. The firm also documents potential conflicts and referral arrangements in its disclosures, emphasizes reliance on third‑party managers rather than in‑house discretionary management, and states it does not vote client proxies.
Client services
Expertise
Fee options
Consulting services and financial planning may be provided for flat fees; financial seminars registration fees range from $10 to $199 per person.
Clients purchasing securities products through Bates Financial Group may result in commissions to the firm.
Consulting services may be charged hourly; hourly rates vary depending on factors.
Account minimum: $1,000.00 Fee-only: Financial planning fees typically do not exceed $15,000; consulting services fees typically do not exceed $5,000 for individuals and $15,000 for businesses; fees can be fixed, hourly, or flat fees as determined by IA Representatives.
Main office
3200 Highlands Parkway SE, Suite 105
Smyrna GA 30082
Advisors at this office
1
Most active in
Georgia
Also doing business as
Bates Financial Group, LLC. · Bates Realty Group, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
Forms ADV
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