Troy M. 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.
Troy Michael Cates was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1998. Troy had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2018 - August 27, 2019
ALPS DISTRIBUTORS, INC.
November 23, 2016 - April 18, 2017
FUSION ANALYTICS SECURITIES LLC
December 18, 2014 - March 8, 2018
RECON CAPITAL
July 5, 2006 - September 9, 2014
MKM PARTNERS LLC
April 17, 2006 - June 7, 2006
G-2 TRADING,LLC
June 2, 2004 - March 10, 2005
KNIGHT CAPITAL AMERICAS, L.P.
November 3, 1998 - May 21, 2004
AUGMENT SECURITIES 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
Series 55
Date: 4/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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