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.

Current firm

THE WELLINGTON GRP LLC

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Feb 1, 1998earliest registration or exam on IAPD

Years in industry

28derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

4

Current registrations

1

Registered states

1

Exams

S65|S63

First exam

Jun 22, 1998

First registration

Jan 2, 2001

Dual registered

no

Other names

TOM CATES|THOMAS L CATES|THOMAS LOUIS CATES

IAPD individual key

3064356

• Occurred

  Dec 31, 2025
  Advisor departed, no destination yet

  Thomas L Cates no longer registered at Wellington Wealth Strategies, Llc; no later IA registration on IAPD

  Form ADVobserved 5 days ago
• Occurred

  Dec 31, 2024
  Advisor changed firm

  Thomas L Cates left Wellington Wealth Strategies, Llc for The Wellington Grp Llc (registered 2024-10-22)

  Form ADVobserved 5 days ago
• Occurred

  Sep 7, 2023
  Advisor changed firm

  Thomas L Cates left Park Avenue Securities Llc for Wellington Wealth Strategies, Llc (registered 2023-09-01)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e9bda8ea-4cff-855e-3135-5eb00e2f0676

First observed

Jan 2, 2001

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.