AC
Aaron T. Cates
WELLS FARGO ADVISORS FINANCIAL NETWORK
Oak Brook, IL 60523
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CRD#: 4020899
AC
Professional summary
Aaron Thomas Cates, CIMA®, CPWA® is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Oak Brook, Illinois.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Aaron has worked at 15 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Thomas Cates's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aaron Thomas 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®
CPWA®
Start date: 2018-04-02
Expire date: 2022-12-31
Experience
Current
June 19, 2019 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 1515 W 22nd St. Suite 525, Oak Brook, IL 60523RIA
BD
CRD#: 11025
Oak Brook, IL
Current
June 19, 2019 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 1515 W 22nd St. Suite 525, Oak Brook, IL 60523RIA
BD
CRD#: 11025
Oak Brook, IL
Past
October 25, 2016 - June 19, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
OAK BROOK, IL
Past
October 25, 2016 - June 19, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
OAK BROOK, IL
Past
March 6, 2015 - October 17, 2016
MANNING & NAPIER ADVISORS, LLC
RIA
CRD#: 105992
DOWNERS GROVE, IL
Past
March 6, 2015 - October 17, 2016
MANNING & NAPIER INVESTOR SERVICES, INC.
BD
CRD#: 26266
FAIRPORT, NY
Past
December 17, 2012 - February 18, 2015
CALAMOS ADVISORS LLC
RIA
CRD#: 105758
NAPERVILLE, IL
Past
July 21, 2011 - December 12, 2012
CALAMOS WEALTH MANAGEMENT LLC
RIA
CRD#: 143490
NAPERVILLE, IL
Past
July 21, 2011 - February 18, 2015
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
Past
May 2, 2011 - June 30, 2011
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
CHICAGO, IL
Past
September 15, 2005 - February 28, 2011
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
Past
March 1, 2005 - September 12, 2005
GREAT LAKES ADVISORS, LLC
RIA
CRD#: 110757
CHICAGO, IL
Past
March 1, 2005 - September 12, 2005
FOCUSED INVESTMENTS L.L.C.
BD
CRD#: 37532
CHICAGO, IL
Past
May 4, 2004 - February 23, 2005
GUGGENHEIM INVESTMENTS
RIA
CRD#: 129288
LISLE, IL
Past
May 4, 2004 - February 23, 2005
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
BD
CRD#: 39805
CHICAGO, IL
Past
March 31, 2003 - May 4, 2004
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
SAINT CHARLES, IL
Past
March 31, 2003 - May 4, 2004
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CEDAR RAPIDS, IA
Past
January 3, 2002 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
RIA
CRD#: 2864
ST CHARLES, IL
Past
October 23, 2001 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
January 1, 2001 - November 8, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
WF
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
1670 WEALTH MANAGEMENT | CRUNK FOLMAR & ASSOCIATES WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | CRT PRIVATE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | COVERED BRIDGE WEALTH MANAGEMENT | CORPORATE SECURITIES GROUP, INC. | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE STRATEGIC WEALTH MANAGEMENT | CORNAGIE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | CORK WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CORBETT & CAPEROON WEALTH MANAGEMENT OF TRUEJOURNEY | CONTINUITY GROUP | CONSERVANT FINANCIAL | CONSERVANT CAPITAL OF CONSERVANT FINANCIAL | CONCORD WEALTH MANAGEMENT OF WESTLAKE PRIVATE WEALTH MANAGEMENT | CONCORD PRIVATE WEALTH OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | COGHLAN & ASSOCIATES | COASTLINE ADVISORY GROUP | COASTAL WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CLEARWATER PRIVATE WEALTH ADVISORS | CLARK STODDARD WEALTH ADVISORY GROUP OF PELORUS CAPITAL MANAGEMENT | CLARK & GOSHOW FINANCIAL STRATEGIES GROUP, LLC | CLARITY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | CLARITY WEALTH MANAGEMENT | CLARITY WEALTH | CICERO CAPITAL MANAGEMENT | CHLUMSKY WEALTH MANAGEMENT | CHERUBIN ASSET MANAGEMENT, LLC | CENTER STREET WEALTH MANAGEMENT | CENTER STREET CAPITAL ADVISORS | CEDARDOOR WEALTH MANAGEMENT OF INNOVATIVE RETIREMENT ASSOCIATES | CEDAR CREEK WEALTH MANAGEMENT | CASH WEALTH MANAGEMENT OF 2911 WEALTH ADVISORS | CAPSTONE FINANCIAL GROUP | CAPITOL WEALTH PARTNERS | CANUM WEALTH PARTNERS | CANOPY ROADS ADVISORS | CAMPBELL SECURITIES | CAMPBELL MORRISON WEALTH MANAGEMENT OF NEST CAPITAL | CAMPBELL MORRISON WEALTH MANAGEMENT | CALLAHAN FINANCIAL MANAGEMENT GROUP, LLC. | CACCAVALLO TEAM OF ASSCENT WEALTH PARTNERS | C&R CAPITAL MANAGEMENT | BUTLER WEALTH MANAGEMENT | BURK, HALL AND CO., LLC | BURBANK WEALTH MANAGEMENT | BUIE WEALTH MANAGEMENT GROUP, INC. | BUCKHEAD FINANCIAL ADVISORS | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BROOKWOOD WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | BROOKSIDE WEALTH ADVISORS | BRIDGEPOINT WEALTH PARTNERS | BRIDGEHAVEN FINANCIAL ADVISORS, LLC | BRIDGE WEALTH PARTNERS | BREECE PRIVATE WEALTH MANAGEMENT OF TSG WEALTH MANAGEMENT | BRAUN WEALTH MANAGEMENT OF NEST CAPITAL | BPGE CAPITAL MANAGEMENT LLC | BOULDER TEAM OF ASCENT WEALTH PARTNERS | BO HARRIS WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BLUESTONE CAPITAL ADVISORS | BLUE WAVE WEALTH MANAGEMENT | BLUE OCEAN INVESTMENT GROUP OF NEST CAPITAL | BLACK BROOK WEALTH ADVISORS | BISHOP INVESTMENTS OF TRUEJOURNEY | BIDDLE WEALTH | BERTAIN ESCOBAR WEALTH MANAGEMENT | BENDER PRIVATE WEALTH MANAGEMENT OF 1856 CAPITAL PARTNERS | BEAUCHAMP WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BEAUCHAMP WEALTH MANAGEMENT | BEACON WEALTH MANAGEMENT OF NEST CAPITAL | BEACON TREE WEALTH MANAGEMENT | BE FREE WEALTH MANAGEMENT | BANYAN TREE CAPITAL | BALANCE INVESTMENT SERVICES | BAIRD FINANCIAL MANAGEMENT | BAILEY FINANCIAL GROUP OF OXFORD HARRIMAN & COMPANY | BADDERS AND MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BACKSHORE WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | AZUL WEALTH PARTNERS OF CONSERVANT FINANCIAL | AVAIL WEALTH MANAGEMENT | AURIC ROAD WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | ATLAS INVESTMENT MANAGEMENT OF NEST CAPITAL | ASCENT WEALTH PARTNERS | ASCENDING CAPITAL MANAGEMENT | ASCEND ADVISORY GROUP | ARVADA WEALTH | ARTISAN INVESTMENT & RETIREMENT MANAGEMENT | ARCHER WEALTH MANAGEMENT OF BUCKHEAD FINANICAL ADVISORS | ARBROATH CAPITAL | ARBOR WEALTH MANAGEMENT | APEX SECURITIES AND ASSET MANAGEMENT, LLC | AML CAPITAL ADVISORS | ALEY WEALTH MANAGEMENT | ALEXANDER INVESTMENT GROUP OF ASCENDING CAPITAL MANAGEMENT | AGAPE WEALTH PARTNERS OF EDWARDS ASSET MANAGEMENT | AG INVESTMENT MANAGEMENT POWERED BY MILLENNIUM PRIVATE WEALTH | ADROIT WEALTH MANAGEMENT | ACUNIS WEALTH PARTNERS | ACE FINANCIAL GROUP | ABOUND ADVISORS OF CONSERVANT FINANCIAL | A. KELLEY SHOOTER FINANCIAL SERVICES | 853 WEALTH MANAGEMENT | 3D PRIVATE WEALTH ADVISORS | 2911 WEALTH ADVISORS | 1858 HAVEN PRIVATE WEALTH | 1856 CAPITAL PARTNERS | 1792 CAPITAL | 1787 WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY...
CRD#: 11025 / SEC#: 801-57434, 8-28721
RIA
Registered Investment Advisory firm - SEC (4/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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(6/24/2019)
RR
Arizona(6/19/2019)
RR
Arkansas(6/1/2023)
RR
California(6/19/2019)
RR
Colorado(6/19/2019)
RR
Delaware(6/19/2019)
RR
District of Columbia(4/24/2025)
RR
Florida(6/19/2019)
RR
Georgia(6/19/2019)
RR
Idaho(6/19/2019)
RR
Illinois(6/19/2019)
IAR
Illinois(6/19/2019)
RR
Indiana(6/19/2019)
RR
Iowa(6/19/2019)
RR
Kansas(3/29/2022)
RR
Kentucky(6/19/2019)
RR
Maryland(11/14/2019)
RR
Massachusetts(6/19/2019)
RR
Michigan(6/19/2019)
RR
Minnesota(6/19/2019)
RR
Mississippi(6/19/2019)
RR
Missouri(6/19/2019)
RR
Nevada(10/17/2019)
RR
New Hampshire(6/20/2019)
RR
New Jersey(6/19/2019)
RR
New Mexico(6/19/2019)
RR
New York(6/19/2019)
RR
North Carolina(6/19/2019)
RR
Ohio(6/19/2019)
RR
Oklahoma(12/6/2024)
RR
Oregon(6/19/2019)
RR
Pennsylvania(6/19/2019)
RR
South Carolina(6/19/2019)
RR
Tennessee(6/19/2019)
RR
Texas(6/19/2019)
IAR
Texas(6/19/2019)
RR
Utah(6/19/2019)
RR
Virginia(6/19/2019)
RR
Washington(6/19/2019)
RR
Wisconsin(6/19/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
1670 WEALTH MANAGEMENT | CRUNK FOLMAR & ASSOCIATES WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | CRT PRIVATE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | COVERED BRIDGE WEALTH MANAGEMENT | CORPORATE SECURITIES GROUP, INC. | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE STRATEGIC WEALTH MANAGEMENT | CORNAGIE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | CORK WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CORBETT & CAPEROON WEALTH MANAGEMENT OF TRUEJOURNEY | CONTINUITY GROUP | CONSERVANT FINANCIAL | CONSERVANT CAPITAL OF CONSERVANT FINANCIAL | CONCORD WEALTH MANAGEMENT OF WESTLAKE PRIVATE WEALTH MANAGEMENT | CONCORD PRIVATE WEALTH OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | COGHLAN & ASSOCIATES | COASTLINE ADVISORY GROUP | COASTAL WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CLEARWATER PRIVATE WEALTH ADVISORS | CLARK STODDARD WEALTH ADVISORY GROUP OF PELORUS CAPITAL MANAGEMENT | CLARK & GOSHOW FINANCIAL STRATEGIES GROUP, LLC | CLARITY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | CLARITY WEALTH MANAGEMENT | CLARITY WEALTH | CICERO CAPITAL MANAGEMENT | CHLUMSKY WEALTH MANAGEMENT | CHERUBIN ASSET MANAGEMENT, LLC | CENTER STREET WEALTH MANAGEMENT | CENTER STREET CAPITAL ADVISORS | CEDARDOOR WEALTH MANAGEMENT OF INNOVATIVE RETIREMENT ASSOCIATES | CEDAR CREEK WEALTH MANAGEMENT | CASH WEALTH MANAGEMENT OF 2911 WEALTH ADVISORS | CAPSTONE FINANCIAL GROUP | CAPITOL WEALTH PARTNERS | CANUM WEALTH PARTNERS | CANOPY ROADS ADVISORS | CAMPBELL SECURITIES | CAMPBELL MORRISON WEALTH MANAGEMENT OF NEST CAPITAL | CAMPBELL MORRISON WEALTH MANAGEMENT | CALLAHAN FINANCIAL MANAGEMENT GROUP, LLC. | CACCAVALLO TEAM OF ASSCENT WEALTH PARTNERS | C&R CAPITAL MANAGEMENT | BUTLER WEALTH MANAGEMENT | BURK, HALL AND CO., LLC | BURBANK WEALTH MANAGEMENT | BUIE WEALTH MANAGEMENT GROUP, INC. | BUCKHEAD FINANCIAL ADVISORS | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BROOKWOOD WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | BROOKSIDE WEALTH ADVISORS | BRIDGEPOINT WEALTH PARTNERS | BRIDGEHAVEN FINANCIAL ADVISORS, LLC | BRIDGE WEALTH PARTNERS | BREECE PRIVATE WEALTH MANAGEMENT OF TSG WEALTH MANAGEMENT | BRAUN WEALTH MANAGEMENT OF NEST CAPITAL | BPGE CAPITAL MANAGEMENT LLC | BOULDER TEAM OF ASCENT WEALTH PARTNERS | BO HARRIS WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BLUESTONE CAPITAL ADVISORS | BLUE WAVE WEALTH MANAGEMENT | BLUE OCEAN INVESTMENT GROUP OF NEST CAPITAL | BLACK BROOK WEALTH ADVISORS | BISHOP INVESTMENTS OF TRUEJOURNEY | BIDDLE WEALTH | BERTAIN ESCOBAR WEALTH MANAGEMENT | BENDER PRIVATE WEALTH MANAGEMENT OF 1856 CAPITAL PARTNERS | BEAUCHAMP WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BEAUCHAMP WEALTH MANAGEMENT | BEACON WEALTH MANAGEMENT OF NEST CAPITAL | BEACON TREE WEALTH MANAGEMENT | BE FREE WEALTH MANAGEMENT | BANYAN TREE CAPITAL | BALANCE INVESTMENT SERVICES | BAIRD FINANCIAL MANAGEMENT | BAILEY FINANCIAL GROUP OF OXFORD HARRIMAN & COMPANY | BADDERS AND MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BACKSHORE WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | AZUL WEALTH PARTNERS OF CONSERVANT FINANCIAL | AVAIL WEALTH MANAGEMENT | AURIC ROAD WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | ATLAS INVESTMENT MANAGEMENT OF NEST CAPITAL | ASCENT WEALTH PARTNERS | ASCENDING CAPITAL MANAGEMENT | ASCEND ADVISORY GROUP | ARVADA WEALTH | ARTISAN INVESTMENT & RETIREMENT MANAGEMENT | ARCHER WEALTH MANAGEMENT OF BUCKHEAD FINANICAL ADVISORS | ARBROATH CAPITAL | ARBOR WEALTH MANAGEMENT | APEX SECURITIES AND ASSET MANAGEMENT, LLC | AML CAPITAL ADVISORS | ALEY WEALTH MANAGEMENT | ALEXANDER INVESTMENT GROUP OF ASCENDING CAPITAL MANAGEMENT | AGAPE WEALTH PARTNERS OF EDWARDS ASSET MANAGEMENT | AG INVESTMENT MANAGEMENT POWERED BY MILLENNIUM PRIVATE WEALTH | ADROIT WEALTH MANAGEMENT | ACUNIS WEALTH PARTNERS | ACE FINANCIAL GROUP | ABOUND ADVISORS OF CONSERVANT FINANCIAL | A. KELLEY SHOOTER FINANCIAL SERVICES | 853 WEALTH MANAGEMENT | 3D PRIVATE WEALTH ADVISORS | 2911 WEALTH ADVISORS | 1858 HAVEN PRIVATE WEALTH | 1856 CAPITAL PARTNERS | 1792 CAPITAL | 1787 WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY...
CRD#: 11025 / SEC#: 801-57434, 8-28721
RIA
Registered Investment Advisory firm - SEC (4/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205
Mailing Address
One North Jefferson Avenue H0004-05c, St. Louis, MO 63103
Phone number
(314) 875-3000
Established
Delaware since 03/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
3,658
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRAVEN, JAMES J | BOARD OF MANAGERS | 4323533 |
| GINDI, SOL | BOARD OF MANAGERS | 4903526 |
| KARANIK, ERIK ANTHONY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL | 5616656 |
| MARKMANN, DAVID FRANZ | DESIGNATED TEXAS OFFICER | 2637778 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER | 5385585 |
| SANKOVICH, PAUL CAMERON | CHIEF COMPLIANCE OFFICER | 2475029 |
| TA, KIMBERLY CROWDER | BOARD OF MANAGERS/CONTROL PRINCIPAL | 4717506 |
| TYERS, JOHN R | PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL | 2632380 |
Regulatory assets under management
| Total Number of Accounts | 401,726 |
| AUM (Assets Under Management) | $ 197,360,196,619 |
Disclosures
| Regulatory Event | 35 |
| Arbitration | 39 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
