Information Required of Brokers and Dealers (Form X-17A-5)

Report for the Period Beginning	02-01-2025
and Ending	01-31-2026
Type of Registrant	Broker-dealer
	OTC derivatives dealer

Material Weakness
Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?	Yes No

Name of Broker-dealer

BATES SECURITIES, INC.

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1	8437 NORTHERN AVE
City	ROCKFORD
State/Country	ILLINOIS
Mailing Zip/ Portal Code	61107

Name and Telephone Number of Person to Contact in Regard to this Report

Name	Jennifer Charles
Telephone Number	815-519-7411

Independent Public Accountant

Name - if individual, state last, first, and middle name	Thomas Faust, CPA
Address 1	174 Coldbrook Ct
City	Lafayette
State/Country	INDIANA
Mailing Zip/ Postal Code	47909
Check One	Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions

Oath or Affirmation

I, George D. Bates, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of BATES SECURITIES, INC., as of 01-31-2026, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Signature	George D. Bates
Title	CCO

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.