Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Weber Gates is a financial advisor at LPL Financial LLC. Richard has been in the financial services industry since 1998. Richard is registered with FINRA and the state of Illinois as an investment advisor representative. Richard is also a Certified Financial Planner. Richard has been working with Loring Ward Securities Inc. and Genworth Financial Securities Corporation in the past. Richard has experience in financial planning, portfolio management for individuals and businesses, pension consulting, and other non-discretionary advisory services.
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.
1
2
SC
01/06/2017 - Present
LPL Financial LLC (FORT MILL SC)
CA
04/09/2012 - 01/06/2017
LORING WARD SECURITIES INC. (SAN JOSE CA)
IL
04/16/2008 - 04/02/2012
GENWORTH FINANCIAL SECURITIES CORPORATION (SCHAUMBURG IL)
IL
08/03/2000 - 05/08/2007
GENWORTH FINANCIAL SECURITIES CORPORATION (SCHAUMBURG IL)
IL
07/16/1999 - 07/24/2000
INVESTORS BROKERAGE SERVICES, INC. (ELGIN IL)
IL
03/19/1998 - 07/06/1999
KEMPER DISTRIBUTORS, INC. (CHICAGO IL)
BOTH
Issued 04/30/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/29/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1999
Series 7 - General Securities Representative Examination
BC
Issued 03/18/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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