Stephen Gates
Stephen Gates is a registered investment advisor at Cetera Investment Advisers LLC, based in Greenwood Village, CO, with 26 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
5350 South Roslyn Street, Ste 370, Greenwood Village, CO, 80111
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Stephen is an agent for SRG Financial Inc., selling fixed, traditional, and life insurance, as well as long-term care, spending minimal time on this activity. He is also a representative for Fourest, LLC, spending full-time hours in this role.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Vsr Financial Services, INC.Broker
Vsr Advisory Services
Summit Financial Group INC
Summit Brokerage Services, INC.Broker
Vsr Advisory Services
Vsr Financial Services, INC.Broker
H. Beck, INC.
H. Beck, INC.Broker
Berkshire Equity Sales, INC.Broker
State Registrations26 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.