Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Clarke Gates is a financial advisor with over 20 years of experience in the industry. Michael is currently registered with LPL Financial LLC in California and Texas. Michael is a Series 66, 63, and 7 licensed professional. Michael has held previous positions with Morgan Stanley, Wells Fargo Advisors, LLC, Wells Fargo Investments, LLC, WM Financial Services, Inc., CAL FED INVESTMENTS, and SENTRA SECURITIES CORPORATION. Michael specializes in retirement planning, financial planning, investment management, and insurance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
05/25/2018 - Present
LPL Financial LLC (HUNTINGTON BEACH CA)
CA
03/30/2012 - 05/17/2018
MORGAN STANLEY (NEWPORT BEACH CA)
CA
01/03/2011 - 04/26/2012
WELLS FARGO ADVISORS, LLC (HUNTINGTON BEACH CA)
CA
04/02/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (NEWPORT BEACH CA)
CA
05/01/2001 - 04/12/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
04/19/2000 - 05/18/2001
CAL FED INVESTMENTS (SACRAMENTO CA)
CA
11/10/1998 - 05/01/2000
WM FINANCIAL SERVICES, INC. (IRVINE CA)
AZ
01/28/1998 - 09/01/1998
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
BOTH
Issued 09/01/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/11/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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