CC
Chase Cates
MFS FUND DISTRIBUTORS
Phoenix, AZ 85016
Some features on this profile are disabled
CRD#: 7580053
CC
Professional summary
Chase Cates is a registered financial professional currently at MFS FUND DISTRIBUTORS, INC. located in Phoenix, Arizona.
Chase is registered as a RR (Registered Representative) and started their career in finance in 2022. Chase has worked at 1 firm and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Chase 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®
NoneExperience
Current
November 10, 2022 - Present
MFS FUND DISTRIBUTORS, INC.
Office #1: Esplanade Tower Iv 2575 East Camelback Road, Suite 780, Phoenix, AZ 85016BD
CRD#: 31052
Phoenix, AZ
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(11/11/2022)
RR
Alaska(11/11/2022)
RR
Arizona(11/16/2022)
RR
Arkansas(11/11/2022)
RR
California(11/11/2022)
RR
Colorado(11/11/2022)
RR
Connecticut(11/11/2022)
RR
Delaware(11/11/2022)
RR
District of Columbia(11/11/2022)
RR
Florida(11/11/2022)
RR
Georgia(11/11/2022)
RR
Hawaii(11/11/2022)
RR
Idaho(11/11/2022)
RR
Illinois(11/11/2022)
RR
Indiana(11/11/2022)
RR
Iowa(11/11/2022)
RR
Kansas(11/11/2022)
RR
Kentucky(11/11/2022)
RR
Louisiana(11/11/2022)
RR
Maine(11/11/2022)
RR
Maryland(11/11/2022)
RR
Massachusetts(11/11/2022)
RR
Michigan(11/11/2022)
RR
Minnesota(11/11/2022)
RR
Mississippi(11/11/2022)
RR
Missouri(11/11/2022)
RR
Montana(11/11/2022)
RR
Nebraska(11/11/2022)
RR
Nevada(11/11/2022)
RR
New Hampshire(11/11/2022)
RR
New Jersey(11/11/2022)
RR
New Mexico(11/11/2022)
RR
New York(11/11/2022)
RR
North Carolina(11/11/2022)
RR
North Dakota(11/11/2022)
RR
Ohio(11/14/2022)
RR
Oklahoma(11/11/2022)
RR
Oregon(11/11/2022)
RR
Pennsylvania(11/11/2022)
RR
Puerto Rico(11/11/2022)
RR
Rhode Island(11/11/2022)
RR
South Carolina(11/11/2022)
RR
South Dakota(11/11/2022)
RR
Tennessee(11/11/2022)
RR
Texas(11/11/2022)
RR
Utah(11/11/2022)
RR
Vermont(11/11/2022)
RR
Virgin Islands(11/11/2022)
RR
Virginia(11/11/2022)
RR
Washington(11/11/2022)
RR
West Virginia(11/11/2022)
RR
Wisconsin(11/11/2022)
RR
Wyoming(11/11/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/23/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 11/10/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MFS FUND DISTRIBUTORS, INC.
MFS FUND DISTRIBUTORS, INC. | MFS INVESTOR SERVICES, INC.
CRD#: 31052 / SEC#: , 8-45321
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
111 Huntington Avenue, Boston, MA 02199
Mailing Address
111 Huntington Avenue, Boston, MA 02199
Phone number
(617) 954-5000
Established
Delaware since 10/27/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS FINANCIAL SERVICES COMPANY | PARENT COMPANY | |
| GEREMIA, CAROL WILLIAM | DIRECTOR AND CHAIRMAN OF THE BOARD | 1456883 |
| HARDIN, HEIDI WALTER | SECRETARY | 2619251 |
| HUNT, MICHAEL ANDREW | CHIEF COMPLIANCE OFFICER | 4150065 |
| KEENAN, MICHAEL SEAN | PRESIDENT AND DIRECTOR | 2324763 |
| SMELSTOR, JOSEPH JOHN IV | TREASURER AND SENIOR GROUP CONTROLLER | 6247186 |
Disclosures
| Regulatory Event | 1 |
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.
