Rebecca Thornton Cates

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2010 → 10/2018
  Wells Fargo Advisors Llc
  Alpharetta, GA
• 10/2018 → Present
  Raymond James Financial Services Advisors, Inc.
  Roswell, GA
• 10/2018 → Present
  Raymond James Financial Services, Inc.
  Roswell, GA
• 10/2018 → Present
  R. Thornton Cates Financial Group
  Roswell, GA
• 10/2018 → Present
  R. Thornton Cates Financial Group
  Roswell, GA

Previous Registrations

• 2011-05-24 → 2018-10-10
  Wells Fargo Clearing Services, Llc
  Alpharetta, GA

Other Businesses

Name of Business: R. Thornton Cates Financial Group Address: Roswell, GA, 30076, United States -Activity Type: Support Company -Owner -Position/Title: Independent Contractor -Investment Related: Yes Start Date: 10/05/2018 -Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Responsible for Financial Planning and Investment placement and monitoring for clients

Exams

• S66 Uniform Combined State Law Examination
  2011-05-20

Designations

• Certified Financial Planner