Steven 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.
Steven Robert Gates, who also goes by Steve Gates, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2020 - September 4, 2024
TUCKER ASSET MANAGEMENT LLC
June 1, 2015 - June 11, 2018
PRINCIPAL SECURITIES, INC.
May 28, 2015 - June 11, 2018
PRINCIPAL SECURITIES, INC.
September 2, 2003 - January 6, 2015
PARK AVENUE SECURITIES LLC
October 6, 1999 - January 6, 2015
PARK AVENUE SECURITIES LLC
May 22, 1996 - October 21, 1999
LOCUST STREET SECURITIES, INC.
January 31, 1986 - May 22, 1996
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
TUCKER ASSET MANAGEMENT LLC
CRD#: 174844 / SEC#: 801-107110
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
TUCKER ASSET MANAGEMENT LLC
CRD#: 174844 / SEC#: 801-107110
Contact information
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,243 |
| AUM (Assets Under Management) | $ 640,805,363 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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