Terrell F. 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.
Terrell Franklin Gates III, who also goes by Terrell F. Gates III, was a registered financial professional .
Terrell is a previously registered financial professional and started their career in finance in 1999. Terrell had worked at 6 firms and has passed the Series 66, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2008 - September 30, 2008
VIRTUS SECURITIES, LLC
January 3, 2007 - December 4, 2009
REGAL SECURITIES, INC.
July 11, 2006 - December 31, 2006
SAMCO FINANCIAL SERVICES, INC.
March 11, 2005 - May 20, 2021
WATERLOO CAPITAL
September 10, 2004 - June 30, 2006
FSC SECURITIES CORPORATION
September 10, 2004 - June 30, 2006
FSC SECURITIES CORPORATION
December 13, 1999 - September 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 1999 - September 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
VIRTUS SECURITIES, LLC
CRD#: 146016 / SEC#: , 8-67775
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEQUOIA SECURITIES HOLDINGS, LLC | MEMBER | |
| DMK FINANCIAL HOLDINGS, LLC | MEMBER | |
| KONITS, DAVID MATTHEW | PRESIDENT, CCO/FINOP | 2531617 |
Red Flags
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