Cross State Financial Group
46yrs
Top advisor by experience in Albuquerque
46yrs
William Edwin Cates
Financial advisor at RBC Capital Markets
At a glance
Experience46 years (since 1980)
How that compares ?Top 1% by experience in Albuquerque
Office6301 Uptown Blvd NE Suite 100, Albuquerque, NM 87110
How the firm is paid ?Percent of assets, Flat fee
States licensed ?2 states
Services through RBC Capital Markets
Financial planningInvestment management for individuals and small businessesManaging private fundsInvestment management for businesses and institutionsRetirement plan consultingChoosing other investment managersEducational seminars and workshopsOther services
Specialties, designations like CFP®, and languages spoken appear here when advisors claim their profiles.
Licenses
Exams passed, from the official record. Tap a license to see what it allows.
Uniform Securities Agent State Law Examination
Uniform Investment Adviser Law Examination
Career
- 2009 – nowRBC Capital Markets, LLCCurrent firm
- 1993 – 2009Citigroup Global Markets Inc.Previously
Questions to ask William
Tailored to William’s registration and firm.
- What's your succession plan, and who would work with me if you retire?
- At a firm this size, will I work with you directly or with a service team?
- What does a financial plan with you include, and how often is it updated?
- If you use outside managers, how are they chosen and what do they cost on top of your fee?
- Where would my money be held, and will I get statements directly from that firm?
- What would I pay in total each year, in dollars, including fund and trading costs?
My notes and scorecard
Sign in to keep private notes, score your first meeting, and track this advisor alongside others.
About William
How do I contact William?
Call RBC Capital Markets at 212-858-7000 and ask for William Edwin Cates. William works from the Albuquerque, NM office.
How long has William been a financial advisor?
William has been in the industry since 1980, about 46 years. Top 1% by experience in Albuquerque.
What licenses does William hold?
Series 63, Series 65. Tap any license on this page to see what it allows.
Is William a fiduciary?
William is registered as an investment advisor representative, which carries a fiduciary duty when giving investment advice.
How is William paid?
RBC Capital Markets reports being paid by a percentage of the assets they manage, flat or fixed fees. Ask William for your total yearly cost in dollars.
Official record as of October 2, 2026.
This profile is for information only and is not financial advice or a recommendation.
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