Daniel Scott Kates

Employer firm

United Capital Financial Advisors CRD 134600

$24.6B regulatory AUM 160 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 08/2011 → 03/2019
  Gaudreau Wealth New England
  Wilbraham, MA
• 03/2016 → 03/2019
  Mid Atlantic Capital Corporation
  Wilbraham, MA
• 03/2016 → 03/2019
  Mid Atlantic Financial Management, Inc.
  Pittsburgh, PA
• 03/2019 → 09/2020
  Cetera Advisor Networks
  El Segundo, CA
• 03/2019 → Present
  United Capital Financial Advisors, Llc / Goldman Sachs
  Irving, TX

Previous Registrations

• 2016-03-22 → 2019-04-10
  Mid Atlantic Financial Management, Inc.
  Wilbraham, MA
  Pittsburgh, PA

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-02-25
• S63 Uniform Securities Agent State Law Examination
  2010-08-28

Other Names

• Daniel Kates
• Danny Kates