Ralph P. Gates
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ralph Pillsbury Gates III, who also goes by Ralph Pillsbury Gates, Randy Gates, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1982. Ralph had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2016 - March 6, 2019
WILLIAM O'NEIL SECURITIES
January 27, 2010 - March 25, 2019
WILLIAM O'NEIL + COMPANY
August 7, 2000 - February 12, 2010
WILLIAM O'NEIL SECURITIES
May 7, 1991 - August 3, 2000
AUTRANET, LLC
August 1, 1988 - February 21, 1991
YANKEE FINANCIAL GROUP, INC.
August 20, 1987 - May 5, 1988
JANNEY MONTGOMERY SCOTT LLC
December 21, 1982 - August 22, 1987
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WILLIAM O'NEIL SECURITIES
CRD#: 894 / SEC#: , 8-11763
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
