Scott D. Cates
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.
Scott Daniel Cates, who also goes by Scott Daniel Cates, Scott Cates, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2020. Scott had worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - September 16, 2022
CARTA SECURITIES, LLC
March 6, 2020 - October 15, 2021
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 3/6/2020
General Securities Representative ExaminationCurrent Firm
CARTA SECURITIES, LLC
CRD#: 282086 / SEC#: , 8-69701
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
