Robert B. Owings

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CRD#: 2763506

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 Bradley Owings, CFP®, who also goes by Robert Owings, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 52, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Owings

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Board Member for American Red Cross; non-investment related; 4800 Mount Hope Drive, Baltimore, MD 21215; Board of Directors/Board of Trustees of a Profit or Not for Profit Entity; Start: 07/11/2018; 8 hours/month devoted to the other business; 4 during securities trading hours; I am a board member for the Chesapeake region of the American Red Cross

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

June 18, 2019 - April 1, 2022

BESTGATE WEALTH ADVISORS, LLC

RIA

CRD#: 301639

EDGEWATER, MD

Past

March 12, 2019 - April 9, 2019

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

BETHESDA, MD

Past

August 18, 2016 - July 11, 2017

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

BALTIMORE, MD

Past

April 23, 2015 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

BALTIMORE, MD

Past

April 23, 2015 - July 11, 2017

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

BALTIMORE, MD

Past

January 20, 2005 - January 20, 2005

BB&T ASSET MANAGEMENT, INC.

RIA

CRD#: 108443

RALEIGH, NC

Past

January 3, 2005 - September 14, 2007

MERCANTILE BROKERAGE SERVICES, INC.

RIA

CRD#: 6784

ELLICOTT CITY, MD

Past

January 3, 2005 - September 14, 2007

MERCANTILE BROKERAGE SERVICES, INC.

CRD#: 6784

ELLICOTT CITY, MD

Past

February 26, 2003 - December 31, 2004

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

February 25, 2003 - December 31, 2004

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

CHARLOTTE, NC

Past

April 29, 2002 - December 4, 2002

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

March 18, 2002 - December 4, 2002

RYAN BECK & CO.

RIA

CRD#: 3248

BALTIMORE, MD

Past

February 14, 2002 - May 15, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

July 22, 1996 - February 20, 2002

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BESTGATE WEALTH ADVISORS, LLC

CRD#: 301639 / SEC#: 801-132305

RIA

Registered Investment Advisory firm - (3/28/2025 Approved)

Maryland

Registered Investment Advisory firm - (4/2/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/22/2023 Terminated)

Virginia

Registered Investment Advisory firm - (3/31/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/20/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/12/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 7/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/23/2015

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 7/19/1996

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/11/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 4/20/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/20/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

BESTGATE WEALTH ADVISORS, LLC

CRD#: 301639 / SEC#: 801-132305

RIA

Registered Investment Advisory firm - (3/28/2025 Approved)

Maryland

Registered Investment Advisory firm - (4/2/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/22/2023 Terminated)

Virginia

Registered Investment Advisory firm - (3/31/2025 Terminated)

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Contact information

Main Address

5100 Buckeystown Pike Ste 290, Frederick, MD 21704

Mailing Address

Phone number

(301) 662-7220

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2A - BESTGATE WEALTH ADVISORS, LLC (2/28/2025)

Regulatory assets under management

Total Number of Accounts	109
AUM (Assets Under Management)	$ 129,204,736

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.

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Advisor Monitoring

Firm Stability Insights

Robert B. Owings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

BB&T ASSET MANAGEMENT, INC.

MERCANTILE BROKERAGE SERVICES, INC.

MERCANTILE BROKERAGE SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

RYAN BECK & CO.

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

BESTGATE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/20/2015

Series 65

Date: 3/12/2001

SIE

Date: 7/11/2017

Series 7

Date: 4/23/2015

Series 52

Date: 7/19/1996

Series 24

Date: 11/11/2005

Series 10

Date: 4/20/2000

Series 9

Date: 4/20/2000

Current Firm

BESTGATE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BESTGATE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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