Jeff Mccarty Cates

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2004-04-07

TN RA
APPROVED

Since 2004-04-07

Branch Locations

1500B Madison Street, Clarksville, TN 37040 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Clarksville	TN	12/1999	Present

12/1999 → Present

Lpl Financial, Llc

Clarksville, TN

Other Businesses

1. 12/21/1999: NON-VARIABLE INSURANCE - CATES FINANCIAL GROUP - CLARKSVILLE, TN. 2. 2/14/2012: DBA ONLY - CATES FINANCIAL GROUP - CLARKSVILLE, TN. 3. 2/29/2012: REAL ESTATE RENTAL - CATES REAL ESTATE HOLDINGS - TIME SPENT 10% - CLARKSVILLE, TN.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-06-14
S63	Uniform Securities Agent State Law Examination	1988-03-17

S65 Uniform Investment Adviser Law Examination

1996-06-14
S63 Uniform Securities Agent State Law Examination

1988-03-17

View on SEC IAPD

Employer firm

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

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