Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Aaron? Claim Your ProfileAaron Cates is a financial advisor with over 20 years of experience in the industry. Aaron is currently registered with Wells Fargo Advisors Financial Network, LLC and has been with this firm since June 2019. Prior to joining Wells Fargo Advisors, Aaron was registered with Wells Fargo Clearing Services, LLC, Manning & Napier Investor Services, Inc., and Calamos Financial Services LLC. Aaron holds Series 7, 31, and 66 licenses and the SIE exam.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
IL
06/19/2019 - Present
Wells Fargo Advisors Financial Network, LLC (OAK BROOK IL)
IL
10/25/2016 - 06/19/2019
WELLS FARGO CLEARING SERVICES, LLC (OAK BROOK IL)
NY
03/06/2015 - 10/17/2016
MANNING & NAPIER INVESTOR SERVICES, INC. (FAIRPORT NY)
IL
07/21/2011 - 02/18/2015
CALAMOS FINANCIAL SERVICES LLC (NAPERVILLE IL)
IL
05/02/2011 - 06/30/2011
RUSSELL FINANCIAL SERVICES, INC., PART OF RUSSELL INVESTMENTS (CHICAGO IL)
IL
09/15/2005 - 02/28/2011
CALAMOS FINANCIAL SERVICES LLC (NAPERVILLE IL)
IL
03/01/2005 - 09/12/2005
FOCUSED INVESTMENTS L.L.C. (CHICAGO IL)
IL
05/04/2004 - 02/23/2005
CLAYMORE SECURITIES, INC. (CHICAGO IL)
IA
03/31/2003 - 05/04/2004
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (CEDAR RAPIDS IA)
OH
10/23/2001 - 03/31/2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC. (BRYAN OH)
NY
01/01/2001 - 11/08/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 02/10/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 12/27/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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