Brian GatesCRD Number: 3135733
Current Firm: Suntrust Investment Services, Inc.
Brian Gates (CRD# 3135733) is an Investment Advisor Representative working at Suntrust Investment Services, Inc. in Richmond, VA and has over 18 years of experience in the finance industry. Brian Gates has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Morse Capital Partners, LLC
Hornor, Townsend & Kent, Inc.
Financial Freedom Planners
|Suntrust Investment Services,inc.||Altanta, GA||Sep 2006 - Current||10|
|H&r Block Financial Advisors, Inc.||Glen Allen, VA||Sep 1998 - Sep 2006||8|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1998|
|S65||NASAA Investment Advisors Law Examination||Aug 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management10,443MILLIONS
Total Number of Accounts26,841ACCOUNTS
Average Account Value$389,077
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV