Stephen C. 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.
Stephen Clarke Gates JR, who also goes by Steve Gates, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2014 - December 31, 2016
THE LEADERS GROUP, INC.
March 6, 2013 - November 14, 2013
QUEST CAPITAL STRATEGIES, INC.
December 9, 2009 - February 7, 2011
MIDAMERICA FINANCIAL SERVICES, INC.
September 26, 2006 - November 26, 2007
VOYA FINANCIAL ADVISORS, INC.
August 15, 2002 - September 30, 2004
WALL STREET FINANCIAL GROUP, INC.
February 11, 2002 - May 13, 2002
CALIFORNIA FINANCIAL NETWORK, INC.
November 22, 2000 - December 19, 2001
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
November 14, 1997 - June 1, 1999
IFMG SECURITIES, INC.
May 4, 1995 - November 21, 1995
WALL STREET ACCESS
August 26, 1991 - November 7, 1995
PACIFIC FINANCIAL ASSOCIATES, INC.
May 9, 1989 - December 31, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 1, 1983 - February 23, 1988
NEWHARD, COOK & CO. INCORPORATED
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
Series 8
Date: 2/28/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
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.
