Chase Cates
Investment adviser representative at RBC Capital Markets, LLC
12 yearsExperience
2 statesRegistered in
$310.4BFirm assets
49 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- RBC Capital Markets, LLCJan 2026 to now
- MFS Fund Distributors, Inc.Jun 2022 to Jan 2026
- Cooper's Hawk Winery and RestaurantMay 2021 to Aug 2021
- Chicago Justice ProjectJan 2021 to May 2021
- Manzano Day SchoolMay 2019 to Aug 2019
- Arizona State UniversityAug 2018 to May 2022
- Flix BrewhouseDec 2017 to Jul 2018
- Bosque SchoolMay 2017 to Aug 2017
- Bosque High SchoolAug 2014 to May 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2022
- Series 66 · Uniform Combined State Law2026
State registrations
Registered as an investment adviser representative in 2 states (AZ, NM).
RBC Capital Markets, LLC
$310.4BAssets managed
283,910Clients
3,838Advisers
49 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7580053
- Firm CRD
- 31194