Eric Obie Cates IV
Professional Summary
Eric Obie Cates IV, who also goes by Eric Obie Cates, is a registered financial advisor currently at FOUNDERS M&A ADVISORY, LLC located in Birmingham, Alabama. Eric is registered as a RR (Registered Representative) and started their career in finance in 2014. Eric has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Eric Obie Cates IV, Eric Obie Cates
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
12 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FOUNDERS M&A ADVISORY, LLC
Contact Information
Main Address
2400 Fifth Avenue South, Suite 100, Birmingham, AL 35233Mailing Address
2400 Fifth Avenue South, Suite 100, Birmingham, AL 35233Phone Number
(205) 949-2043Established
Alabama since 10/30/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOUNDERS ADVISORS, LLC (FORMERLY KNOWN AS FOUNDERS INVESTMENT BANKING LLC) | OWNER | — |
| ALVAREZ, ENRIQUE | FINOP | 4622342 |
| CATES, ERIC OBIE IV | CCO | 6394899 |
| HIRSCH, KENNETH ALAN | BOARD MEMBER | 2588742 |
| IRBY, RUSSELL LEE III | BOARD MEMBER | — |
| LEGG, JAMES WESLEY | PRESIDENT & CEO | 6358296 |
| TARENCE, ZANE P | BOARD MEMBER | 5861607 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(11/1/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Apr 2016About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Eric Obie Cates IV's CRS (Customer Relationship Summary).
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