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Thomas L Cates

Wellington Wealth Strategies, LLC

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About Thomas L Cates

Thomas Cates is an investment advisor representative with Wellington Wealth Strategies, LLC and The Wellington GRP LLC. Thomas has been in the industry since 1998 and has experience with Park Avenue Securities LLC and Guardian Investor Services Corporation. Thomas is registered in Indiana and Texas.

Firm Information

Thomas Cates is currently registered with Wellington Wealth Strategies, LLC. Wellington Wealth Strategies, LLC is an independent financial advisory firm based in Indianapolis, Indiana. They offer a variety of financial planning and investment management services to individuals, corporations, and pooled investment vehicles. The firm has approximately $289.6 million in assets under management and serves over 1,199 clients. They specialize in providing financial advice to firefighters and their families.
Wellington Wealth Strategies, LLC

9000 KEYSTONE CROSSING

INDIANAPOLIS, IN 46240

$289.60M

Assets Under Management

258

Total Clients

14

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Cates’s Registration & Firm History

IN

01/03/2025 - Present

Wellington Wealth Strategies, LLC (INDIANAPOLIS IN)

IN

10/13/2023 - 11/02/2023

PURSHE KAPLAN STERLING INVESTMENTS (Indianapolis IN)

IN

01/19/2010 - 09/07/2023

PARK AVENUE SECURITIES LLC (INDIANAPOLIS IN)

IN

05/03/1999 - 01/06/2010

PARK AVENUE SECURITIES LLC (INDIANAPOLIS IN)

NY

06/22/1998 - 05/03/1999

GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)

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Licenses & Designations

IA

Issued 01/27/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/22/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/03/2009

Series 7 - General Securities Representative Examination

BC

Issued 06/17/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Thomas L Cates.
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