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RG

Robert H. Gates

GATES WEALTH GROUP
Green Island, NY
Some features on this profile are disabled
CRD#: 6600741
RG

Professional summary

Robert H Gates, CFP®, who also goes by Bobby Gates, is a registered financial advisor currently at GATES WEALTH GROUP located in Green Island, New York.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Robert has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bobby 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.
Robert "Bobby" Gates provides consulting for joint venture projects as an independent contractor. This activity takes 1 hour per day during trading hours, and is not securities related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert H 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®
CFP®

Certified Financial Planner

Experience

Current

July 5, 2022 - Present

GATES WEALTH GROUP

RIA
CRD#: 322129
Green Island, NY
Past

January 7, 2019 - July 5, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
Albany, NY
Past

November 19, 2018 - July 5, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Albany, NY

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.

Highlighted states indicate IAR registrations

IAR
New York
(7/5/2022)
IAR
Texas
(7/22/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/28/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/18/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/19/2018
Securities Industry Essentials Examination

Current Firm

GW
GATES WEALTH GROUP
GATES WEALTH | GATES WEALTH GROUP, LLC | GATES WEALTH GROUP

CRD#: 322129 / SEC#:

New York
Registered Investment Advisory firm - (7/5/2022 Approved)
Texas
Registered Investment Advisory firm - (7/19/2022 Conditional Restricted)
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Contact information

Main Address
Green Island, NY
Mailing Address
Phone number
(518) 848-9285
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts6
AUM (Assets Under Management)$ 274,127

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.

Company Information

GATES WEALTH GROUP

CRD#: 322129Green Island, NY

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