Amy Kates, financial advisor Cotuit MA
96 score

Amy Kates

CRD Number: 1937926
Current Firm: Eagle Strategies LLC

Amy Kates (CRD# 1937926) is an Investment Advisor Representative working at Eagle Strategies LLC in Cotuit, MA and has over 27 years of experience in the finance industry. Amy Kates has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Eagle Strategies LLC Cotuit, MA Mar 2009 - Current 7
Nylife Securities Inc. Waltham, MA Feb 1989 - Current 27
New York Life Ins Co Waltham, MA May 1988 - Current 28
Kpig Kates Financial & Insurance Group Cotuit, MA Jun 2002 - Jan 2013 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1989
Contact Info for Amy M. Kates
Phone Number: (888) 695-3245
Registered State(s):
  • MA
By the Numbers
  • Total Assets Under Management
    5,154
    MILLIONS
  • Total Number of Accounts
    29,837
    ACCOUNTS
  • Average Account Value
    $172,747
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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