KG
Kevin D. Gates
EAGLE STRATEGIES LLC
PROVIDENCE, RI 02904
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CRD#: 4675932
KG
Professional summary
Kevin Douglas Gates, who also goes by Kevin Gates, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Providence, Rhode Island and NYLIFE SECURITIES LLC located in Johnston, Rhode Island.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Kevin has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Gates
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.
[Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered insurance products.; 525 West Van Buren, Chicago, IL 60607; Start Date 08/2016; Role/Title: Independent Contractor; Investment Related; 1 hours per month; 1 hours per month during securities trading hours] [Knights of Columbus Council 3563; Recording secy for Council 3563 Knights of Columbus. Charitable fundraising / religious fraternal organizations; 1675 Douglas Avenue North Providence Rhode Island 02904; Start Date 01/2021; Role/Title: Officer; Not Investment Related; 5 hours per month; 0 hours per month during securities trading hours; record the minutes for the monthly meeting ]
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Douglas Gates's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 12, 2015 - Present
EAGLE STRATEGIES LLC
Office #1: 10 Orms Street Suite 410, Providence, RI 02904RIA
CRD#: 110826
PROVIDENCE, RI
Current
December 4, 2003 - Present
NYLIFE SECURITIES LLC
Office #1: 1301 Atwood Avenue Suite 306n, Johnston, RI 02919BD
CRD#: 5167
Johnston, RI
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".
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - (10/14/1988 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(12/19/2003)
IAR
Massachusetts(3/12/2015)
RR
Rhode Island(12/19/2003)
IAR
Rhode Island(3/12/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - (10/14/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
51 Madison Avenue 12th Floor, New York, NY 10010
Mailing Address
51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010
Phone number
(888) 695-3245
Established
Firm type
Fiscal year end
# of Employees
2,804
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
EAGLE STRATEGIES LLC
CRD#: 110826Providence, RI 02904TRUST BUT VERIFY
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