Sharon K. Cates
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sharon Kay Cates was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1984. Sharon had worked at 3 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 1992 - November 1, 2018
AMERICAN FINANCIAL ASSOCIATES, INC.
October 28, 1991 - April 21, 1992
AMERICAN INTERSTATE FINANCIAL CORPORATION
August 22, 1984 - October 30, 1991
PILGRIM PLANNING ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERICAN FINANCIAL ASSOCIATES, INC.
CRD#: 29049 / SEC#: , 8-44065
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
