TC
Thomas L. Cates
THE WELLINGTON GRP LLC
INDIANAPOLIS, IN 46240
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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 and WELLINGTON WEALTH STRATEGIES, 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.
1 - Cates Wealth Management LLC 2 - Not Investment related 3 - Address: 9000 Keystone Crossing, Suite 400 Indianapolis, IN 46240, 4 - Established LLC as an entity for purpose of running income from Financial Business for tax purposes, 5 - Sole Owner 6 - Start: 02/14/2005 7 - 1 non bus. hr/mo, 8 - 0 hr/mo, 9 - Taxes 1 - Wellington Wealth Strategies 2 - Yes, is our RIA that is also an Insurance Licensed Entity 3 - Address: 9000 Keystone Crossing #400, Indianapolis, IN 46240 4 - Fixed / Traditional Insurance 5 - Founder/Partner of RIA - primary occupation 6 - Start 09/01/2023 7 - 160 business hours per month 8 - 8 business hours per month 9 - Sales of Fixed / Traditional insurance products
CRS (Client Relationship Summary) - RIA
Click below to view Thomas L 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
October 22, 2024 - Present
THE WELLINGTON GRP LLC
Office #1: 9000 Keystone Crossing Suite 400, Indianapolis, IN 46240RIA
CRD#: 332803
INDIANAPOLIS, IN
Current
January 3, 2025 - Present
WELLINGTON WEALTH STRATEGIES, LLC
Office #1: 9000 Keystone Crossing Suite 400, Indianapolis, IN 46240RIA
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".
WW
WELLINGTON WEALTH STRATEGIES, LLC
TRUSTWEALTH STRATEGIES | WELLINGTON WEALTH STRATEGIES, LLC | TRUSTWEALTH STRATEGIES, LLC
CRD#: 306298 / SEC#: 801-128328
RIA
Registered Investment Advisory firm - (7/13/2023 Approved)California
Registered Investment Advisory firm - (8/26/2023 Terminated)Illinois
Registered Investment Advisory firm - (7/27/2023 Terminated)Indiana
Registered Investment Advisory firm - (8/7/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/31/2023 Terminated)Michigan
Registered Investment Advisory firm - (8/9/2023 Terminated)Texas
Registered Investment Advisory firm - (7/27/2023 Terminated)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WW
WELLINGTON WEALTH STRATEGIES, LLC
TRUSTWEALTH STRATEGIES | WELLINGTON WEALTH STRATEGIES, LLC | TRUSTWEALTH STRATEGIES, LLC
CRD#: 306298 / SEC#: 801-128328
RIA
Registered Investment Advisory firm - (7/13/2023 Approved)California
Registered Investment Advisory firm - (8/26/2023 Terminated)Illinois
Registered Investment Advisory firm - (7/27/2023 Terminated)Indiana
Registered Investment Advisory firm - (8/7/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/31/2023 Terminated)Michigan
Registered Investment Advisory firm - (8/9/2023 Terminated)Texas
Registered Investment Advisory firm - (7/27/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9000 Keystone Crossing Suite 400, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 789-8800
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 576 |
| AUM (Assets Under Management) | $ 145,594,172 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
