Richard Gates, financial advisor San Jose CA
96 score

Richard Gates

CRD Number: 2984756
Current Firm: Lwi Financial Inc.

Richard Gates (CRD# 2984756) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 18 years of experience in the finance industry. Richard 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.

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Professional Designations
Company Name Location Dates Years
Loring Ward San Jose, CA Apr 2012 - Current 4
Genworth Financial Securities Corporation Schaumburg, IL Apr 2008 - Mar 2012 3
Genworth Financial Advisers Corporation Schaumburg, IL Apr 2008 - Mar 2012 3
Buckingham Asset Management, LLC Clayton, MO Jun 2007 - Apr 2008 < 1
Terra Sec Corp Oak Brook, IL Aug 2000 - Jun 2007 6
Investors Brokerage Services, Inc. Long Grove, IL Jul 1999 - Jun 2007 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1998
S66 NASAA Uniform Combined State Law Examination Apr 2001
Contact Info for Richard W. Gates
Phone Number: 800-366-7266
Registered State(s):
  • CA
  • IL
  • IN
  • IA
  • MI
  • WI
  • MN
By the Numbers
  • Total Assets Under Management
    13,062
    MILLIONS
  • Total Number of Accounts
    52,336
    ACCOUNTS
  • Average Account Value
    $249,573
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

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, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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