Aaron Thomas Cates

Wells Fargo Advisors Financial Network, LLC

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Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2019-06-19
TX	RA	APPROVED	2019-06-19

IL RA
APPROVED

Since 2019-06-19
TX RA
APPROVED

Since 2019-06-19

Branch Locations

1515 W 22Nd St. Suite 525, Oak Brook, IL 60523 • 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
Manning & Napier Investor Services, Inc.	Fairport	NY	03/2015	10/2016
Manning & Napier Advisors, Llc	Fairport	NY	02/2015	10/2016
Wells Fargo Advisors, Llc	Oak Brook	IL	10/2016	11/2016
Wells Fargo Clearing Services, Llc	Oak Brook	IL	11/2016	06/2019
Wells Fargo Advisors Financial Network, Llc	Oak Brook	IL	06/2019	Present

03/2015 → 10/2016

Manning & Napier Investor Services, Inc.

Fairport, NY
02/2015 → 10/2016

Manning & Napier Advisors, Llc

Fairport, NY
10/2016 → 11/2016

Wells Fargo Advisors, Llc

Oak Brook, IL
11/2016 → 06/2019

Wells Fargo Clearing Services, Llc

Oak Brook, IL
06/2019 → Present

Wells Fargo Advisors Financial Network, Llc

Oak Brook, IL

Previous Registrations

2016-10-25 → 2019-06-19

Wells Fargo Clearing Services, Llc

Oak Brook, IL
2015-03-06 → 2016-10-17

Manning & Napier Advisors, Llc

Downers Grove, IL

Fairport, NY
2012-12-17 → 2015-02-18

Calamos Advisors Llc

Naperville, IL
2011-07-21 → 2012-12-12

Calamos Wealth Management Llc

Naperville, IL
2005-03-01 → 2005-09-12

Great Lakes Advisors, Llc

Chicago, IL
2004-05-04 → 2005-02-23

Guggenheim Investments

Lisle, IL
2003-03-31 → 2004-05-04

Berthel, Fisher & Company Financial Services, Inc.

Saint Charles, IL
2002-01-03 → 2003-03-31

Continental Capital Investment Services, Inc.

St Charles, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-02-10

S66 Uniform Combined State Law Examination

2001-02-10

View on SEC IAPD

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LPL FINANCIAL LLC

GEIGER WEALTH MANAGEMENT

Other Investors

TODD BRENDAN SCHROEDER

MICHAEL CHRISTOPHER LEE

DANIEL P SCHIPITSCH

Anthony Joesph Bittman

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · OAK BROOK, IL

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Oak Brook, IL

WEALTHQUEST CORPORATION · OAK BROOK, IL

ERGAWEALTH ADVISORS, INC. · OAK BROOK, IL

CETERA INVESTMENT ADVISERS LLC · OAK BROOK, IL

LPL FINANCIAL LLC · OAK BROOK, IL

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