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Thomas L Cates

WELLINGTONWS, LLC·INDIANAPOLIS, Indiana
Unclaimed Profile
9000 KEYSTONE CROSSING, INDIANAPOLIS, IN 46240CRD# 3064356Firm CRD# 332803
01

About

Thomas L Cates is a registered financial advisor based in INDIANAPOLIS, Indiana, affiliated with WELLINGTONWS, LLC. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Client Types
Individuals
High Net Worth Individuals
03

Firm Overview

Firm
THE WELLINGTON GRP LLC
THE WELLINGTON GRP LLC
AUM
$120M
Regulatory assets under management
Employees
10
Total firm employees
View all advisors at THE WELLINGTON GRP LLC →
Services
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
04

Background

Compensation
Percentage of AUM
Subscription fees
Regulatory
SEC/IARD CRD# 3064356
Firm CRD# 332803
No disclosures on file
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does Thomas L Cates offer?
Thomas L Cates specializes in Financial Planning, Investment Management. Contact their office in INDIANAPOLIS, Indiana for a consultation.
What are Thomas L Cates's credentials?
Thomas L Cates is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Thomas L Cates located?
Thomas L Cates is based in INDIANAPOLIS, Indiana, working with WELLINGTONWS, LLC. Their office serves clients in the INDIANAPOLIS metropolitan area and surrounding communities.
How does Thomas L Cates charge for services?
Thomas L Cates's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is WELLINGTONWS, LLC?
WELLINGTONWS, LLC has approximately 10 employees and manages $120M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at WELLINGTONWS, LLC

Christopher Lee Payne
INDIANAPOLIS, IN
Maxwell T Moritz
INDIANAPOLIS, IN
Anthony J Bonanno
INDIANAPOLIS, IN
Nathaniel John Miller
INDIANAPOLIS, IN

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Research
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