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TC

Thomas L. Cates

THE WELLINGTON GRP LLC
INDIANAPOLIS, IN 46240
Some features on this profile are disabled
CRD#: 3064356
TC

Professional summary

Thomas L Cates, who also goes by Thomas Louis Cates, Tom Cates, is a registered financial advisor currently at THE WELLINGTON GRP LLC located in Indianapolis, Indiana.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Louis Cates | Tom 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas L 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

October 22, 2024 - Present

THE WELLINGTON GRP LLC

Office #1: 9000 Keystone Crossing Suite 400, Indianapolis, IN 46240
RIA
CRD#: 332803
INDIANAPOLIS, IN
Past

January 3, 2025 - December 31, 2025

WELLINGTON WEALTH STRATEGIES, LLC

RIA
CRD#: 306298
INDIANAPOLIS, IN
Past

October 13, 2023 - November 2, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Indianapolis, IN
Past

September 1, 2023 - December 31, 2024

WELLINGTON WEALTH STRATEGIES, LLC

RIA
CRD#: 306298
Indianapolis, IN
Past

January 19, 2010 - September 7, 2023

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
INDIANAPOLIS, IN
Past

January 7, 2010 - September 7, 2023

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
INDIANAPOLIS, IN
Past

January 2, 2001 - January 6, 2010

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
INDIANAPOLIS, IN
Past

May 3, 1999 - January 6, 2010

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
INDIANAPOLIS, IN
Past

June 22, 1998 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY

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".
TW
THE WELLINGTON GRP LLC
THE WELLINGTON GROUP | WELLINGTONWS, LLC | THE WELLINGTON GRP LLC

CRD#: 332803 / SEC#: 801-131076

RIA
Registered Investment Advisory firm - (9/6/2024 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
Indiana
(10/22/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/27/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/22/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/3/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/17/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TW
THE WELLINGTON GRP LLC
THE WELLINGTON GROUP | WELLINGTONWS, LLC | THE WELLINGTON GRP LLC

CRD#: 332803 / SEC#: 801-131076

RIA
Registered Investment Advisory firm - (9/6/2024 Approved)
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Contact information

Main Address
9000 Keystone Crossing Suite 400, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 846-5055
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TWG ADV PART 2A (7/31/2025)

Regulatory assets under management

Total Number of Accounts240
AUM (Assets Under Management)$ 136,422,525

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.

Company Information

THE WELLINGTON GRP LLC

CRD#: 332803Indianapolis, IN 46240

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