Donald R. 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.
Donald Ray Gates, who also goes by Donnie Gates, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1985. Donald had worked at 13 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 1998 - October 25, 1999
AMERICAN INVESTMENT SERVICES, INC.
August 4, 1997 - February 9, 1998
SUNPOINT SECURITIES, INC.
August 18, 1992 - June 23, 1997
UNITED PACIFIC SECURITIES, INC.
August 1, 1990 - May 21, 1992
PRUDENTIAL EQUITY GROUP, LLC
January 23, 1990 - June 21, 1990
FIRSTMONEY SECURITIES CORPORATION
July 10, 1989 - January 13, 1990
SWINK & COMPANY, INC.
April 21, 1989 - May 24, 1989
EQUITY MUTUAL CORPORATION
March 31, 1989 - April 13, 1989
BRYAN, WORLEY & CO., INC.
October 10, 1988 - March 8, 1989
ALLISON, ROSENBLUM & HANNAHS, INC.
November 19, 1986 - September 2, 1988
U.S. ASSOCIATES, INC.
May 15, 1986 - October 28, 1986
BRYAN, WORLEY & CO., INC.
January 23, 1986 - May 19, 1986
FIRST INVESTMENT SECURITIES, INC.
December 3, 1985 - January 4, 1986
UNITED CAPITAL CORPORATION
October 23, 1985 - November 12, 1985
DELTA FINANCIAL INVESTMENT CORPORATION
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
AMERICAN INVESTMENT SERVICES, INC.
CRD#: 21111 / SEC#: , 8-38685
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
