William Dennis Tates

CRD 5890064 · Captrust · Houston, TX

IA RegisteredRegistration inactive

Also appears in the source record as: Mike Tates; William D Tates; William Dennis Tates Jr; William Tates

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Inactive
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (1): Texas
Years in the industry (source record): 15
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Captrust
Firm CRD: 175112
SEC number: 801-62193
Assets under management: $1.2T as of May 27, 2026
Website: www.linkedin.com/COMPANY/CAPTRUST ↗
Phone: 919-870-6822
Firm location: Raleigh, NC, 27609

Employment history (10)

From the source registration record · current first

CaptrustCurrent
Houston, TX · IA capacity

Mar 27, 2026 → present
Valic Financial Advisors, Inc.
IA capacity

Aug 5, 2025 → Apr 10, 2026
Valic Financial Advisors, Inc.
BD capacity

Jun 18, 2025 → Apr 10, 2026
Valic Financial Advisors, Inc.
BD capacity

Aug 21, 2020 → Oct 14, 2022
Lincoln Financial Advisors Corporation
BD capacity

Jul 13, 2017 → Jul 16, 2020
Gwfs Equities, Inc.
BD capacity

Jun 11, 2015 → Jun 17, 2017
Metlife Securities Inc.
BD capacity

Oct 10, 2012 → May 19, 2015
Valic Financial Advisors, Inc.
BD capacity

Jul 12, 2012 → Oct 4, 2012
Princor Financial Services Corporation
BD capacity

Jan 3, 2012 → Jul 9, 2012
Axa Advisors, LLC
BD capacity

Jul 5, 2011 → Jan 9, 2012

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 5890064 ↗ FINRA BrokerCheck record for CRD 5890064 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.