TrueAdvisor
TrueAdvisor
AC
AC

Aaron Thomas Cates

Wells Fargo Advisors
24 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement Planning
Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
3508 advisors
Number of Clients
401,726 clients
Average Client Portfolio
$491K average
Assets Under Management
$197.4B

Fee Structure

Financial Planning:Investment management only

Location

1515 W 22nd St., Suite 525, Oak Brook, IL, 60523

Get directions

History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
June 2019 - Present · 6 yrs 8 mos
Wells Fargo Advisors
June 2019 - Present · 6 yrs 8 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
October 2016 - June 2019 · 2 yrs 8 mos
Wells Fargo Clearing Services, LLC
October 2016 - June 2019 · 2 yrs 8 mos
Manning & Napier Advisors, LLC
March 2015 - October 2016 · 1 yr 7 mos
Manning & Napier Investor Services, INC.Broker
March 2015 - October 2016 · 1 yr 7 mos
Calamos Advisors LLC
December 2012 - February 2015 · 2 yrs 2 mos
Calamos Financial Services LLCBroker
July 2011 - February 2015 · 3 yrs 7 mos
Calamos Wealth Management LLC
July 2011 - December 2012 · 1 yr 5 mos
Russell Financial Services, INC., Part of Russell InvestmentsBroker
May 2011 - June 2011 · 1 mo
Calamos Financial Services LLCBroker
September 2005 - February 2011 · 5 yrs 5 mos
Wayne Hummer Asset Management Company
March 2005 - September 2005 · 6 mos
Focused Investments L.L.C.Broker
March 2005 - September 2005 · 6 mos
Claymore Advisors, LLC
May 2004 - February 2005 · 9 mos
Claymore Securities, INC.Broker
May 2004 - February 2005 · 9 mos
Berthel Fisher & Company Financial Services, INC.
March 2003 - May 2004 · 1 yr 2 mos
Berthel, Fisher & Company Financial Services, INC.Broker
March 2003 - May 2004 · 1 yr 2 mos
Continental Capital Investment Services
January 2002 - March 2003 · 1 yr 2 mos
Continental Capital Investment Services, INC.Broker
October 2001 - March 2003 · 1 yr 5 mos
Morgan Stanley Dw INC.Broker
January 2001 - November 2001 · 10 mos
State Registrations38 states
ALARAZCACODCDEFLGAIAIDILINKSKYMAMDMIMNMOMSNCNHNJNMNVNYOHOKORPASCTNTXUTVAWAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.