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Brian Gates

LPL Financial LLC
30 Years of Experience
Huntington Beach, CA
6 DisclosuresBroker
View SEC Summary
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Brian Gates is a registered investment advisor at LPL Financial LLC, based in Huntington Beach, CA, with 30 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

18800 Delaware St Suite 1030, Huntington Beach, CA, 92648

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2014
Denied
Customer Dispute
October 2008
Denied
Customer Dispute
September 2003
Settled
Customer Dispute
May 2003
Denied
Customer Dispute
December 2002
Denied
Customer Dispute
October 2002
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Brian operates Gates Group Wealth Management as a DBA for his LPL business, dedicating about a quarter of his time. Brian also owns rental real estate, spending minimal time on it.

Employment History
Current Registrations
LPL Financial LLCBroker
April 2025 - Present · 1 yr 6 mos
LPL Financial LLC
April 2025 - Present · 1 yr 6 mos
Previous Registrations
Cuso Financial Services, L.P.Broker
January 2023 - April 2025 · 2 yrs 3 mos
Cuso Financial Services, L.P.
January 2023 - April 2025 · 2 yrs 3 mos
Wescom Financial Services, LLC
July 2018 - February 2023 · 4 yrs 7 mos
Wescom Financial ServicesBroker
September 2012 - February 2023 · 10 yrs 5 mos
Wescom Financial Services, LLC
September 2012 - July 2018 · 5 yrs 10 mos
Liberty Partners Financial Services, LLCBroker
February 2012 - July 2012 · 5 mos
Liberty Partners Capital Management, LLC
February 2012 - July 2012 · 5 mos
Centaurus Financial, INC.
June 2007 - August 2010 · 3 yrs 2 mos
Centaurus Financial, INC.Broker
June 2007 - August 2010 · 3 yrs 2 mos
Brookstreet Capital Management
January 2006 - July 2007 · 1 yr 6 mos
Brookstreet Securities CorporationBroker
December 2005 - July 2007 · 1 yr 7 mos
Liberty Partners Financial Services, LLCBroker
January 2005 - August 2005 · 7 mos
Banc of America Investment Services, INC.
February 2003 - August 2004 · 1 yr 6 mos
Banc of America Investment Services, INC.Broker
February 2003 - August 2004 · 1 yr 6 mos
Cal Fed InvestmentsBroker
January 1997 - February 2003 · 6 yrs 1 mo
Invest Financial CorporationBroker
February 1994 - January 1997 · 2 yrs 11 mos
Royal Alliance Associates, INC.Broker
August 1993 - November 1993 · 3 mos
State Registrations5 states
CAFLMDTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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