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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

AARON THOMAS CATES

Advisor at WELLS FARGO ADVISORS

OAK BROOK, IL

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Search this name across graphsid dfx:ria:78a1bf71-578b-90fd-7ebe-14085285f9df

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 10, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 10, 2001
First registration: Jan 3, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4020899

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Jun 19, 2019	n/a	yes	OAK BROOK, IL	Current employment
WELLS FARGO ADVISORS	Wirehouse	Oct 25, 2016	Jun 19, 2019	no	OAK BROOK, IL	Previous registration
MANNING & NAPIER ADVISORS, LLC	Mixed wealth	Mar 6, 2015	Oct 17, 2016	no	DOWNERS GROVE, IL\|FAIRPORT, NY	Previous registration
CALAMOS ADVISORS LLC	Asset manager	Dec 17, 2012	Feb 18, 2015	no	NAPERVILLE, IL	Previous registration
CALAMOS WEALTH MANAGEMENT LLC	Independent wealth	Jul 21, 2011	Dec 12, 2012	no	NAPERVILLE, IL	Previous registration
GREAT LAKES ADVISORS, LLC	Other adviser	Mar 1, 2005	Sep 12, 2005	no	CHICAGO, IL	Previous registration
GUGGENHEIM INVESTMENTS	Asset manager	May 4, 2004	Feb 23, 2005	no	LISLE, IL	Previous registration
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	Mar 31, 2003	May 4, 2004	no	SAINT CHARLES, IL	Previous registration
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.	n/a	Jan 3, 2002	Mar 31, 2003	no	ST CHARLES, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Jun 19, 2019	Jun 19, 2019	0	Channel change	Wirehouse to wirehouse
MANNING & NAPIER ADVISORS, LLC	WELLS FARGO ADVISORS	Oct 17, 2016	Oct 25, 2016	8	Firm change	Other
CALAMOS ADVISORS LLC	MANNING & NAPIER ADVISORS, LLC	Feb 18, 2015	Mar 6, 2015	16	Firm change	Other
CALAMOS WEALTH MANAGEMENT LLC	CALAMOS ADVISORS LLC	Dec 12, 2012	Dec 17, 2012	5	Firm change	Other
GREAT LAKES ADVISORS, LLC	CALAMOS WEALTH MANAGEMENT LLC	Sep 12, 2005	Jul 21, 2011	2,138	Firm change after gap	Other
GUGGENHEIM INVESTMENTS	GREAT LAKES ADVISORS, LLC	Feb 23, 2005	Mar 1, 2005	6	Firm change	Other
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	GUGGENHEIM INVESTMENTS	May 4, 2004	May 4, 2004	0	Firm change	Other
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.	BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Mar 31, 2003	Mar 31, 2003	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:11025:IL:2019-06-04	Jun 19, 2019	Jun 19, 2019	OAK BROOK, IL	Firm change

Relationships

Registered with (9)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jun 19, 2019 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 25, 2016 to Jun 19, 2019factForm ADV
→ MANNING & NAPIER ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 6, 2015 to Oct 17, 2016factForm ADV
→ CALAMOS ADVISORS LLCRegistered adviserregistration: previous registration
Dec 17, 2012 to Feb 18, 2015factForm ADV
→ CALAMOS WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Jul 21, 2011 to Dec 12, 2012factForm ADV
→ GREAT LAKES ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 1, 2005 to Sep 12, 2005factForm ADV
→ GUGGENHEIM INVESTMENTSRegistered adviserregistration: previous registration
May 4, 2004 to Feb 23, 2005factForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 31, 2003 to May 4, 2004factForm ADV
→ CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 3, 2002 to Mar 31, 2003factForm ADV

Dated events

No dated event names this entity yet.