Robert L. 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.
Robert Leroy Gates, who also goes by Bob Gates, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2006 - July 18, 2018
AEGIS INVESTMENTS, INC.
August 14, 2002 - September 1, 2004
NTB FINANCIAL CORPORATION
July 14, 1999 - August 1, 2000
CAPITAL SUISSE SECURITIES, INC.
June 18, 1997 - July 8, 1999
TUSCHNER & COMPANY, INC.
March 27, 1996 - February 19, 1997
WESTERN INTERNATIONAL SECURITIES, INC.
October 20, 1995 - April 8, 1996
WFG INVESTMENTS, INC.
November 19, 1993 - October 17, 1995
NTB FINANCIAL CORPORATION
May 21, 1990 - November 23, 1993
AMERICAN FRONTEER FINANCIAL CORPORATION
January 16, 1989 - May 18, 1990
B C FINANCIAL CORPORATION
July 23, 1986 - January 18, 1989
BLINDER, ROBINSON & CO., 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
AEGIS INVESTMENTS, INC.
CRD#: 16033 / SEC#: , 8-33137
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
