Thomas L Cates

Current Employers

Employment History

• 02/1998 → 08/2023
  Guardian Life Insurance Co. Of America
  Indianapolis, IN
• 05/1999 → 08/2023
  Park Avenue Securities Llc
  Indianapolis, IN
• 09/2023 → 10/2024
  Wellington Wealth Strategies
  Indianapolis, IN
• 10/2023 → 11/2023
  Purshe Kaplan Sterling Investments
  Albany, NY
• 10/2024 → Present
  The Wellington Grp Llc
  Indianapolis, IN

Previous Registrations

• 2025-01-03 → 2025-12-31
  Wellington Wealth Strategies, Llc
  Indianapolis, IN
• 2023-09-01 → 2024-12-31
  Wellington Wealth Strategies, Llc
  Indianapolis, IN
• 2010-01-07 → 2023-09-07
  Park Avenue Securities Llc
  Indianapolis, IN
• 2001-01-02 → 2010-01-06
  Park Avenue Securities Llc
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN

Other Businesses

1 - Cates Wealth Management LLC 2 - Not Investment related 3 - Address: 9000 Keystone Crossing, Suite 400 Indianapolis, IN 46240, 4 - Established LLC as an entity for purpose of running income from Financial Business for tax purposes, 5 - Sole Owner 6 - Start: 02/14/2005 7 - 1 non bus. hr/mo, 8 - 0 hr/mo, 9 - Taxes 1 - Wellington Wealth Strategies 2 - Yes, is our RIA that is also an Insurance Licensed Entity 3 - Address: 9000 Keystone Crossing #400, Indianapolis, IN 46240 4 - Fixed / Traditional Insurance 5 - Founder/Partner of RIA - primary occupation 6 - Start 09/01/2023 7 - 160 business hours per month 8 - 8 business hours per month 9 - Sales of Fixed / Traditional insurance products

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-01-27
• S63 Uniform Securities Agent State Law Examination
  1998-06-22

Other Names

• Tom Cates
• Thomas L Cates
• Thomas Louis Cates