Thomas Cates has held the title Member at The Wellington GRP since August 2024, is a control person of the firm and directly owns between 10% and 25% of it. Thomas Cates holds a B.S. in Economics from Denison University and an M.B.A. in Finance from Indiana University. Thomas Cates studied at The College for Financial Planning.
The Wellington GRP LLC is an Indianapolis, IN firm with $474M under management, 1,516 clients and 9 advisers across 2 offices, as of its March 2026 filing.
Thomas Cates is Founder and Partner of The Wellington Group, based in Indianapolis. He joined the firm in 1998 and became a Partner in 2002. He has more than 42 years of experience in the financial services industry and in commercial and international banking.
Thomas Cates’ longest registration was 22 years at Park Avenue Securities LLC (2001–2023). Before joining The Wellington GRP in 2024, Thomas Cates was registered through Wellington Wealth Strategies, LLC and Park Avenue Securities LLC.
- The Wellington GRP LLCCurrent– present · 2 yearsIndianapolis, IN · Adviser representative · Firm CRD 332803
- Wellington Wealth Strategies, LLC– · 2 yearsIndianapolis, IN · Adviser representative · Firm CRD 306298
- Park Avenue Securities LLC– · 22 yearsIndianapolis, IN · Adviser representative · Firm CRD 46173
Professional designations
Listed by The Wellington GRP
- Retirement Income Certified Professional (RICP®)
- Chartered Advisor in Philanthropy (CAP®)
Investment adviser representative registrations
Thomas Cates is registered as an investment adviser representative in Indiana, since October 2024.
- IndianaSince 22 October 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 3 November 2009 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 January 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 June 1998 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 17 June 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Thomas L Cates
- CRD
- 3064356
- Firm
- The Wellington GRP · CRD 332803
- Role
- Member
- Office
- 9000 KEYSTONE CROSSING, SUITE 400, Indianapolis, IN 46240
- Registration
- Investment adviser registration
- In the industry since
- June 1998
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- thewellingtongroupllc.com
Where does Thomas Cates work?
Thomas Cates has held the title Member at The Wellington GRP LLC since August 2024, and is a control person of the firm.
Is Thomas Cates a financial advisor?
Yes. Thomas Cates has a current investment-adviser registration in Indiana, through The Wellington GRP since October 2024.
How many years of experience does Thomas Cates have?
Thomas Cates has 28 years in the financial industry, since June 1998, across 3 adviser firms.
What exams has Thomas Cates passed?
Thomas Cates has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in June 1998. FINRA credited Thomas Cates with the SIE, which began in October 2018.
Where did Thomas Cates work before The Wellington GRP?
Before The Wellington GRP, Thomas Cates was registered through Park Avenue Securities LLC, January 2001 to September 2023.
Where is Thomas Cates based?
Thomas Cates’ registered office is in Indianapolis, IN.
Is Thomas Cates registered with FINRA?
No. Thomas Cates has no current broker registration.
How can I verify Thomas Cates’ record?
Search CRD 3064356 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Cates’ full registration record.
