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Tom Cates

Kestra Advisory Services, LLC
41 Years of Experience
Indianapolis, IN
1 DisclosureBrokerSells Insurance
View SEC Summary
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Tom Cates is a registered investment advisor at Kestra Advisory Services, LLC, based in Indianapolis, IN, with 41 years of industry experience. Tom is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 117,403 clients with $80B in assets under management.

Kestra Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1456 advisors
Number of Clients
117,403 clients
Average Client Portfolio
$680K average
Assets Under Management
$79.8B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Asset-based fees range up to 2.5% of assets under management and are negotiable based on account size, registration type, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

9000 Keystone Crossing, Ste 1050, Indianapolis, IN, 46240

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History

Regulatory History (1)
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Customer Dispute
November 2004
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Tom is a 25% owner and President of C Clips Corporation, a hair care service provider, spending a few hours per week reviewing financials and discussing operations. He is also an owner of Cornerstone Financial Advisors, Inc., an Investment Advisor Representative for Kestra Advisory Services, LLC, and a trustee/investment advisor for two trusts, dedicating nearly full-time hours to these investment-related activities.

Employment History
Current Registrations
Kestra Advisory Services, LLC
April 2016 - Present · 10 yrs 6 mos
Kestra Investment Services, LLCBroker
March 2002 - Present · 24 yrs 7 mos
Previous Registrations
NFP Advisor Services, LLC
March 2001 - September 2016 · 15 yrs 6 mos
Proequities, INC.Broker
February 2001 - March 2002 · 1 yr 1 mo
MML Investors Services, INC.Broker
March 1985 - February 2001 · 15 yrs 11 mos
State Registrations31 states
ALARAZCOCTDEFLGAIDILINKYMAMDMIMTNCNMNYOHORPASCTNTXUTVAVTWAWIWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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