Karl 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.
Karl Richard Gates, who also goes by Karl R Gates, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1992. Karl had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6 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
August 16, 2011 - September 15, 2014
KLS PROFESSIONAL ADVISORS GROUP, LLC
December 18, 2009 - February 2, 2011
WADDELL & REED
January 21, 2009 - February 2, 2011
WADDELL & REED
April 16, 2007 - June 25, 2009
UBS FINANCIAL SERVICES INC.
April 9, 2007 - June 25, 2009
UBS FINANCIAL SERVICES INC.
December 2, 1996 - June 6, 2006
MORGAN STANLEY DW INC.
May 31, 1996 - June 6, 2006
MORGAN STANLEY DW INC.
November 3, 1994 - June 14, 1996
CETERA WEALTH SERVICES, LLC
December 13, 1993 - November 10, 1994
SWBC INVESTMENT COMPANY
May 12, 1992 - December 14, 1993
WALL STREET ACCESS
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: 5/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KLS PROFESSIONAL ADVISORS GROUP, LLC
CRD#: 133319 / SEC#: 801-63665
Contact information
Documents
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.
