Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rebecca? Claim Your ProfileRebecca Thornton Cates is a financial advisor with Raymond James Financial Services Advisors, Inc. in Roswell, GA. Rebecca has been in the financial services industry since 2011. Rebecca is registered with the state of Georgia and holds Series 7, 9, 10, 22TO, 66, and SIE licenses. Rebecca is a Certified Financial Planner. Rebecca is also the owner and an independent contractor for R. Thornton Cates Financial Group.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
GA
10/05/2018 - Present
Raymond James Financial Services Advisors, Inc. (ROSWELL GA)
GA
03/15/2011 - 10/10/2018
WELLS FARGO CLEARING SERVICES, LLC (ALPHARETTA GA)
BOTH
Issued 05/20/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/21/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/07/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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