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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adrienne? Claim Your ProfileAdrienne Nicole Cates is a financial advisor with Raymond James & Associates, Inc., and has been in the industry since 2002. Adrienne has an extensive background in the financial services industry, having previously worked at firms such as Robert W. Baird & Co. Incorporated, UBS Financial Services Inc., and Piper Jaffray & Co. Adrienne is registered in 52 states and holds the Series 3, 7, 9, 10, 31, 63, and 65 licenses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Please see note in schedule d - miscellaneous
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.
1
2
AZ
07/25/2019 - Present
Raymond James & Associates, Inc. (SCOTTSDALE AZ)
NJ
11/27/2018 - 06/25/2019
SOLIUM FINANCIAL SERVICES LLC (WOODCLIFF LAKE NJ)
FL
01/11/2016 - 11/06/2018
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
AZ
03/09/2007 - 10/30/2015
ROBERT W. BAIRD & CO. INCORPORATED (SCOTTSDALE AZ)
AZ
08/12/2006 - 03/21/2007
UBS FINANCIAL SERVICES INC. (SCOTTSDALE AZ)
AZ
07/22/2002 - 08/12/2006
PIPER JAFFRAY & CO. (SCOTTSDALE AZ)
IA
Issued 12/19/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/26/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/21/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/01/2022
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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