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EC

Eric O. Cates

FOUNDERS M&A ADVISORY
Birmingham, AL 35233
Some features on this profile are disabled
CRD#: 6394899
EC

Professional summary

Eric Obie Cates IV, who also goes by Eric Obie Cates IV, Eric Obie Cates, is a registered financial professional 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 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric Obie Cates Iv | Eric Obie Cates

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Obie Cates IV'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®
None

Experience

Current

November 1, 2024 - Present

FOUNDERS M&A ADVISORY, LLC

Office #1: 2400 Fifth Avenue South, Suite 100, Birmingham, AL 35233
BD
CRD#: 269926
Birmingham, AL
Past

March 23, 2016 - February 3, 2023

TRUIST SECURITIES, INC.

BD
CRD#: 6271
Homewood, AL
Past

November 24, 2014 - March 2, 2016

BECHTEL FINANCING SERVICES, LLC

BD
CRD#: 11129
RESTON, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(11/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/31/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 4/11/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/24/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FM
FOUNDERS M&A ADVISORY, LLC
FOUNDERS M&A ADVISORY, LLC

CRD#: 269926 / SEC#: , 8-69638

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
2400 Fifth Avenue South, Suite 100, Birmingham, AL 35233
Mailing Address
2400 Fifth Avenue South, Suite 100, Birmingham, AL 35233
Phone number
(205) 949-2043
Established
Alabama since 10/30/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FOUNDERS ADVISORS, LLC (FORMERLY KNOWN AS FOUNDERS INVESTMENT BANKING LLC)OWNER
ALVAREZ, KAREN LOUFINOP4044938
HIRSCH, KENNETH ALANBOARD MEMBER2588742
IRBY, RUSSELL LEE IIIBOARD MEMBER
LEGG, JAMES WESLEYCCO6358296
TARENCE, ZANE PPRESIDENT/ CEO / BOARD MEMBER5861607

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.

Company Information

FOUNDERS M&A ADVISORY, LLC

CRD#: 269926Birmingham, AL 35233

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