Cary C. Cates

CATES FP, CATES TAX ADVISORY

Denton, TX

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CRD#: 5761798

Professional summary

Cary Charles Cates, CFP® is a registered financial advisor currently at CATES FP, CATES TAX ADVISORY located in Denton, Texas.

Cary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Cary has worked at 3 firms and has passed the Series 66 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.

Cary Cates is the owner and Tax Advisor of Cates Tax Advisory. This activity accounts for approximately 60% of their time. Cary Cates is an Adjunct Professor at University of North Texas. This activity accounts for approximately 5% of their time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cary Charles 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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

November 29, 2017 - Present

CATES FP, CATES TAX ADVISORY

RIA

CRD#: 290650

Denton, TX

Past

July 21, 2014 - June 8, 2016

GRUNDEN FINANCIAL ADVISORY, INC.

RIA

CRD#: 111595

DENTON, TX

Past

June 20, 2012 - June 19, 2013

OSAIC SERVICES, INC.

RIA

CRD#: 133763

DENTON, TX

Past

June 9, 2010 - June 19, 2013

OSAIC SERVICES, INC.

CRD#: 133763

DENTON, TX

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
(11/29/2017)

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 66

Date: 5/7/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/8/2010

General Securities Representative Examination

Current Firm

CATES FP, CATES TAX ADVISORY

CATES FINANCIAL PLANNING LLC | CATES TAX ADVISORY | CATES FP, CATES TAX ADVISORY | CATES FP

CRD#: 290650 / SEC#:

Texas

Registered Investment Advisory firm - (11/29/2017 Approved)

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Contact information

Main Address

Gainesville, TX

Mailing Address

Phone number

(940) 368-0909

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	245
AUM (Assets Under Management)	$ 40,962,194

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Cary C. Cates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cary Charles Cates's CRS (Customer Relationship Summary).

Certified licenses

Experience

CATES FP, CATES TAX ADVISORY

GRUNDEN FINANCIAL ADVISORY, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/7/2010

Series 7

Date: 6/8/2010

Current Firm

CATES FP, CATES TAX ADVISORY

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CATES FP, CATES TAX ADVISORY

TRUST BUT VERIFY

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