Brian Gates
Brian Gates is a registered investment advisor at LPL Financial LLC, based in Huntington Beach, CA, with 29 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
18800 Delaware St Suite 1030, Huntington Beach, CA, 92648
Get directionsHistory
Regulatory History (6)
Customer Dispute
August 2014Customer Dispute
October 2008Customer Dispute
September 2003Customer Dispute
May 2003Customer Dispute
December 2002Customer Dispute
October 2002Other 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
LPL Financial LLC
Previous Registrations
Cuso Financial Services, L.P.Broker
Cuso Financial Services, L.P.
Wescom Financial Services, LLC
Wescom Financial ServicesBroker
Wescom Financial Services, LLC
Liberty Partners Financial Services, LLCBroker
Liberty Partners Capital Management, LLC
Centaurus Financial, INC.
Centaurus Financial, INC.Broker
Brookstreet Capital Management
Brookstreet Securities CorporationBroker
Liberty Partners Financial Services, LLCBroker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Cal Fed InvestmentsBroker
Invest Financial CorporationBroker
Royal Alliance Associates, INC.Broker
State Registrations5 states
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.