Thomas 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.
Thomas Mann Gates, who also goes by Tom Gates, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2012 - September 22, 2016
AGILI, P.C.
October 23, 2009 - January 4, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 4, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 16, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 14, 2007 - March 27, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 5, 2002 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - April 2, 2001
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, 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
AGILI, P.C.
CRD#: 107664 / SEC#: 801-43264
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,179 |
| AUM (Assets Under Management) | $ 1,096,208,221 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2023 | ||
| 01/03/2023 |
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.
