Geoffrey M. 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.
Geoffrey Mcnair Gates, who also goes by Geoff Gates, Geoffrey Gates, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1962. Geoffrey had worked at 16 firms and has passed the Series 63, Series 3, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2011 - January 4, 2012
MONARCH FINANCIAL CORPORATION OF AMERICA
July 22, 2010 - October 7, 2010
WESTROCK ADVISORS, INC.
June 12, 2009 - June 25, 2010
ROBERT R. MEREDITH & CO., INC.
April 14, 2003 - June 8, 2009
SANDERS MORRIS LLC
September 19, 2001 - June 18, 2003
FIRST INTERNATIONAL CAPITAL LTD.
August 3, 1999 - March 20, 2000
BAYOU SECURITIES, LLC
December 15, 1995 - April 8, 1998
COLEMAN & COMPANY SECURITIES, INC.
March 30, 1995 - November 20, 1995
CITIZENS JMP SECURITIES, LLC
September 14, 1993 - March 20, 1995
JONATHAN FOSTER & CO., L.P.
February 3, 1992 - October 8, 1993
THE STAMFORD COMPANY, INC.
January 1, 1990 - October 16, 1991
LBI TRADING, INC.
June 17, 1988 - December 13, 1989
WR LAZARD, LAIDLAW INCORPORATED
October 30, 1978 - June 24, 1988
KUHNS BROTHERS & LAIDLAW, INC.
November 19, 1973 - September 1, 1977
DOHERTY & CO.
May 19, 1972 - September 17, 1973
ALLEN & COMPANY LLC
May 19, 1962 - September 17, 1973
ALLEN & 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
PC
Date: 11/29/1978
AMEX Put and Call ExamSeries 1
Date: 1/10/1958
Registered Representative ExaminationSeries 00
Date: 5/15/1972
General Securities Principal ExaminationCurrent Firm
MONARCH FINANCIAL CORPORATION OF AMERICA
CRD#: 23437 / SEC#: , 8-40433
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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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