Stephen G. Kates
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.
Stephen Gerard Kates, CFP®, who also goes by Stephen G. Kates, Stephen Kates, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2010. Stephen had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2013
Experience
December 22, 2022 - December 18, 2023
ADVISOR.COM
December 6, 2016 - January 30, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 2, 2016 - January 30, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 8, 2011 - September 22, 2016
STRATEGIC ADVISERS LLC
June 25, 2010 - September 21, 2016
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
ADVISOR.COM
CRD#: 318823 / SEC#: 801-128856
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
Current Firm
ADVISOR.COM
CRD#: 318823 / SEC#: 801-128856
Contact information
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 594 |
| AUM (Assets Under Management) | $ 51,307,184 |
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.
