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William Dennis Tates

Captrust

Houston, TX

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Current Employers
Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-27
  • TX RA
    APPROVED
    Since 2026-03-27

Branch Locations

1001 Mckinney Street Suite 1730, Houston, TX 77002 • 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
OrganizationCityStateFromTo
Gwfs Equities, Inc. Odessa TX 05/2015 06/2017
Lincoln Financial Advisors Corporation Missouri City TX 07/2017 07/2020
Valic Financial Advisors, Inc Houston TX 07/2020 10/2022
Vikasa Capital Oklahoma City OK 12/2022 07/2023
Stardust Power Greenwich CT 07/2023 02/2025
Valic Financial Advisors, Inc Houston TX 05/2025 03/2026
Agia Houston TX 06/2025 03/2026
Capfinancial Partners, Llc. (Captrust) Raleigh NC 03/2026 Present
  • 05/2015 → 06/2017
    Gwfs Equities, Inc.
    Odessa, TX
  • 07/2017 → 07/2020
    Lincoln Financial Advisors Corporation
    Missouri City, TX
  • 07/2020 → 10/2022
    Valic Financial Advisors, Inc
    Houston, TX
  • 12/2022 → 07/2023
    Vikasa Capital
    Oklahoma City, OK
  • 07/2023 → 02/2025
    Stardust Power
    Greenwich, CT
  • 05/2025 → 03/2026
    Valic Financial Advisors, Inc
    Houston, TX
  • 06/2025 → 03/2026
    Agia
    Houston, TX
  • 03/2026 → Present
    Capfinancial Partners, Llc. (Captrust)
    Raleigh, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-04
S63 Uniform Securities Agent State Law Examination 2011-08-14
  • S66 Uniform Combined State Law Examination
    2025-08-04
  • S63 Uniform Securities Agent State Law Examination
    2011-08-14
Other Names
  • Mike Tates
  • William D Tates
  • William Dennis Tates
  • William Tates

View on SEC IAPD

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Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

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