George S. Cates

SOUTHEASTERN ASSET MANAGEMENT

MEMPHIS, TN 38119

Some features on this profile are disabled

CRD#: 1532338

Professional summary

George Staley Cates is a registered financial advisor currently at SOUTHEASTERN ASSET MANAGEMENT INC. located in Memphis, Tennessee.

George is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. George has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Staley Cates's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 23, 1998 - Present

SOUTHEASTERN ASSET MANAGEMENT INC.

Office #1: 6410 Poplar Ave., Suite 900, Memphis, TN 38119

RIA

CRD#: 105276

MEMPHIS, TN

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".

SOUTHEASTERN ASSET MANAGEMENT INC.

CRD#: 105276 / SEC#: 801-11123

RIA

Registered Investment Advisory firm - (11/21/1975 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.

Highlighted states indicate IAR registrations

IAR

Texas
(6/23/1998)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/10/1996

Uniform Investment Adviser Law Examination

Current Firm

SOUTHEASTERN ASSET MANAGEMENT INC.

CRD#: 105276 / SEC#: 801-11123

RIA

Registered Investment Advisory firm - (11/21/1975 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5100 Poplar Ave, Suite 2450, Memphis, TN 38137-4000

Mailing Address

Phone number

(901) 761-2474

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOUTHEASTERN ASSET MANAGEMENT INC PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 4,327,763,955

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.

Similar Advisors

Stacey Hyde

ENVISION FINANCIAL PLANNING, LLC

IAR

Memphis, TN

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

George S. Cates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Staley Cates's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHEASTERN ASSET MANAGEMENT INC.

Primary Firm SEC Registration

SOUTHEASTERN ASSET MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/1996

Current Firm

SOUTHEASTERN ASSET MANAGEMENT INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUTHEASTERN ASSET MANAGEMENT INC.

TRUST BUT VERIFY

Similar Advisors