TC
Tom H. Cates
KESTRA ADVISORY SERVICES
INDIANAPOLIS, IN 46240
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CRD#: 1341624
TC
Professional summary
Tom Howard Cates, who also goes by Tom H Cates, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Indianapolis, Indiana and KESTRA INVESTMENT SERVICES, LLC located in Indianapolis, Indiana.
Tom is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Tom has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom H Cates
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Business Name: C Clips Corporation Investment Related: No Address: 6000 Summerbrook Ct. Carmel IN 46033 Nature of Business: Other Other/None of the Above This is a hair care service provider. Position, Title or Relationship: 25% owner, President Start Date: 8/1/1992 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I personally spend approximately 4 hours per week review financial statements and discuss operations with the General Manager and administrator. Business Name: Cornerstone Financial Advisors, Inc. Investment Related: Yes Address: 9000 Keystone Crossing Suite 110 Indianapolis IN 46240 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner Start Date: 7/31/1984 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: I meet with clients and review the objectives listed in 3.50 on a periodic basis. Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: Trust for Richard Pfaller Investment Related: Yes Address: 6000 Summerbrook Ct. Carmel IN 46033 Nature of Business: Investment Advisory (RIA, IAR, Financial Planning, etc.); Other Other/None of the Above none Position, Title or Relationship: Other,Trustee and Investment Advisor Start Date: 1/1/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: I hired the law office of Eagle & Fein to do the trust accounting. I provide the Trustee oversight, Distribute the quarterly checks to the beneficiary. I also manage the assets. Business Name: Trust for Vickie L. Messick Investment Related: Yes Address: 6000 Summerbrook Ct. Carmel IN 46033 Nature of Business: Legal/Fiduciary Position, Title or Relationship: Other,Acting as trustee for my sister's trust, established by her grandfather, Carl L. Pfaller. Start Date: 1/1/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Act as trustee and IAR.
CRS (Client Relationship Summary) - RIA
Click below to view Tom Howard Cates's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 9000 Keystone Crossing Suite 620, Indianapolis, IN 46240RIA
CRD#: 283330
INDIANAPOLIS, IN
Current
March 4, 2002 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 9000 Keystone Crossing, Ste 1050, Indianapolis, IN 46240BD
CRD#: 42046
INDIANAPOLIS, IN
Past
March 5, 2001 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
INDIANAPOLIS, IN
Past
February 1, 2001 - March 6, 2002
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
March 28, 1985 - February 8, 2001
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/6/2022)
RR
Arizona(11/6/2017)
RR
Arkansas(3/4/2002)
RR
Colorado(10/8/2002)
RR
Connecticut(10/31/2023)
RR
Delaware(8/14/2006)
RR
Florida(3/4/2002)
RR
Georgia(5/23/2013)
RR
Illinois(3/4/2002)
RR
Indiana(3/4/2002)
IAR
Indiana(4/21/2016)
RR
Kentucky(2/27/2003)
RR
Maryland(3/4/2002)
RR
Massachusetts(9/28/2020)
RR
Michigan(3/4/2002)
RR
Montana(6/21/2017)
RR
New Mexico(10/25/2010)
RR
New York(9/8/2022)
RR
North Carolina(8/18/2004)
RR
Ohio(3/4/2002)
RR
Oregon(4/10/2008)
RR
Pennsylvania(6/7/2002)
RR
South Carolina(3/4/2002)
RR
Tennessee(9/18/2023)
RR
Texas(3/4/2002)
IAR
Texas(7/27/2023)
RR
Utah(10/23/2025)
RR
Vermont(2/14/2023)
RR
Virginia(6/22/2005)
RR
Washington(3/17/2016)
RR
West Virginia(9/3/2014)
RR
Wisconsin(3/31/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
