# EDGAR Filing Document

**Accession Number:** 0000704744
**File Stem:** 0000704744-26-000001
**Filing Date:** 2026-5
**Character Count:** 2430
**Document Hash:** eab40381e498c4bc5f5852b70a092889
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000704744-26-000001.hdr.sgml**: 20260501

**ACCESSION NUMBER**: 0000704744-26-000001

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20260131

**FILED AS OF DATE**: 20260501

**DATE AS OF CHANGE**: 20260501

**EFFECTIVENESS DATE**: 20260501

**PERIOD START**: 20250201

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BATES SECURITIES, INC.
- **CENTRAL INDEX KEY:** 0000704744

**ORGANIZATION NAME:**
- **EIN:** 363182141
- **STATE OF INCORPORATION:** IL
- **FISCAL YEAR END:** 0131

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-29005
- **FILM NUMBER:** 26934202

**BUSINESS ADDRESS:**
- **STREET 1:** 8437 NORTHERN AVE
- **CITY:** ROCKFORD
- **STATE:** IL
- **ZIP:** 61107
- **BUSINESS PHONE:** 815 332-4020

**MAIL ADDRESS:**
- **STREET 1:** 8437 NORTHERN AVE
- **CITY:** ROCKFORD
- **STATE:** IL
- **ZIP:** 61107

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BATES SECURITIES INC                                    /BD
- **DATE OF NAME CHANGE:** 20020508

### Attached PDF Documents

**Attachment 1:** `2526batesaudit.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000704744

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** Yes

### Submission Information

**Report Period Begin Date:** 02-01-2025

**Report Period End Date:** 01-31-2026

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** Yes

### Registrant Identification

**Name of Broker-Dealer:** BATES SECURITIES, INC.

**Business Address:** 8437 NORTHERN AVE, ROCKFORD, IL, 61107

**Contact Person:** Jennifer Charles

**Contact Phone:** 815-519-7411

### Independent Public Accountant Identification

**Accountant Name:** Thomas Faust, CPA

**Accountant Address:** 174 Coldbrook Ct, Lafayette, IN, 47909

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **George D. Bates**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **BATES SECURITIES, INC.**, as of **01-31-2026**, are true and correct.

**Signature:** George D. Bates

**Title:** CCO