DG
Duncan J. Gates
CETERA INVESTMENT ADVISERS LLC
RICHARDSON, TX 75080
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CRD#: 5430200
DG
Professional summary
Duncan James Gates, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Richardson, Texas and CETERA WEALTH SERVICES, LLC located in Richardson, Texas.
Duncan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Duncan has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) FIVE STAR ADVISOR PARTNERS, LLC POSITION: Director of Tax & Accounting NATURE: LLC created for Avantax business INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 03/27/2023 ADDRESS: 100 North Central Expressway, Suite 1205, Richardson TX 75080, United States DESCRIPTION: LLC created for Avantax business 2) JOSEPH HANCOCK TAX AND FINANCIAL SERVICE POSITION: Director of Tax & Accounting, Enrolled Agent NATURE: Joseph Hancock Tax and Financial Service prepares and files tax returns for individuals and businesses INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 03/27/2023 ADDRESS: 100 North Central Expressway, Suite 1205, Richardson TX 75080, United States DESCRIPTION: I prepare tax returns for filing
CRS (Client Relationship Summary) - RIA
Click below to view Duncan James 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®
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 100 North Central Expressway Suite 1205, Richardson, TX 75080RIA
CRD#: 105644
RICHARDSON, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 North Central Expressway Suite 1205, Richardson, TX 75080BD
CRD#: 13572
RICHARDSON, TX
Past
June 26, 2012 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Richardson, TX
Past
October 12, 2007 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
RICHARDSON, TX
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Richardson, TX 75080TRUST BUT VERIFY
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