Tom Howard Cates

Current Employers

Employment History

• 02/2001 → Present
  Cornerstone Financial Advisors, Inc.
  Indianapolis, IN
• 04/2016 → Present
  Kestra Investment Services, Inc.
  Indianapolis, IN
• 04/2016 → Present
  Kestra Advisory Services, Llc
  Indianapolis, IN

Other Businesses

Business Name: C Clips Corporation Investment Related: No Address: 6000 Summerbrook Ct. Carmel IN 46033 Nature of Business: Other Other/None of the Above This is a hair care service provider. Position, Title or Relationship: 25% owner, President Start Date: 8/1/1992 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I personally spend approximately 4 hours per week review financial statements and discuss operations with the General Manager and administrator. Business Name: Cornerstone Financial Advisors, Inc. Investment Related: Yes Address: 9000 Keystone Crossing Suite 110 Indianapolis IN 46240 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner Start Date: 7/31/1984 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: I meet with clients and review the objectives listed in 3.50 on a periodic basis. Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: Trust for Richard Pfaller Investment Related: Yes Address: 6000 Summerbrook Ct. Carmel IN 46033 Nature of Business: Investment Advisory (RIA, IAR, Financial Planning, etc.); Other Other/None of the Above none Position, Title or Relationship: Other,Trustee and Investment Advisor Start Date: 1/1/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: I hired the law office of Eagle & Fein to do the trust accounting. I provide the Trustee oversight, Distribute the quarterly checks to the beneficiary. I also manage the assets. Business Name: Trust for Vickie L. Messick Investment Related: Yes Address: 6000 Summerbrook Ct. Carmel IN 46033 Nature of Business: Legal/Fiduciary Position, Title or Relationship: Other,Acting as trustee for my sister's trust, established by her grandfather, Carl L. Pfaller. Start Date: 1/1/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Act as trustee and IAR.

Exams

• S63 Uniform Securities Agent State Law Examination
  1985-04-17

Other Names

• Tom H Cates