Warren Cates
Warren Cates is a registered investment advisor at MML Investors Services, LLC, based in Knoxville, TN, with 9 years of industry experience. Warren is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 454,836 clients with $120B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
9729 Cogdill Road, Suite 101, Knoxville, TN, 37932
Get directionsHistory
Regulatory History (2)
Customer Dispute
July 2022Criminal
March 2013Other Business ActivitiesSells Insurance
Warren is an independent insurance agent selling various insurance products, including dental, disability, life, health, long-term care, Medicare-related products, and property & casualty insurance since 2017. Warren is also a partner in Colt Investments since 2022, earning rental income and dedicating minimal time to managing the property.
Employment History
Current Registrations
MML Investors Services, LLCBroker
MML Investors Services, LLC
Previous Registrations
Msi Financial Services, INC.
Msi Financial Services, INC.Broker
State Registrations31 states
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
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