Registered Representative, Financial Advisor, Secondary Principal, Compliance Administrator
A Rockford native and Guilford High School graduate, Bob serves as Financial Advisor and Principal. He enjoys advising clients on investments, taxes, estate planning, insurance, and retirement planning. In addition, Bob is responsible for performing compliance oversight of Bates Securities, Inc.
Bob holds a Bachelor of Science in Economics from the University of Kentucky. With over 23 years in the financial derivatives industry, he most recently served as Supervising Principal, Partner, Risk Manager, and Derivatives Trader for a company based in Chicago, Illinois. Bob holds Series 57 (Securities Trader), Series 24 (General Securities Principal), Series 66 (Investment Advisor Representative), and Series 7 (General Securities Representative) certifications.
Passionate about community involvement, Bob is very active at St. Peter Catholic Church in Geneva and has dedicated many years as a youth sports coach including boys basketball, baseball, football, and girls basketball and softball. He is the proud father to four and husband to Julie.