Stephen R Gates

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2009 → 09/2016
  Vsr Financial Services, Inc
  Overland Park, KS
• 10/2009 → 09/2016
  Vsr Advisory Services
  Overland Park, KS
• 10/2009 → Present
  Fourest, Llc
  Greenwood Village, CO
• 09/2016 → 09/2019
  Summit Brokerage Services, Inc.
  Greenwood Village, CO
• 09/2016 → 05/2021
  Summit Financial Group Inc
  Boca Raton, FL
• 09/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2016-09-01 → 2021-05-20
  Summit Financial Group Inc
  Greenwood Village, CO
• 2016-09-02 → 2016-11-02
  Vsr Financial Services, Inc.
  Greenwood Village, CO
  Overland Park, KS
• 2009-10-30 → 2016-09-01
  Vsr Financial Services, Inc.
  Overland Park, KS
  Greenwood Village, CO
• 2002-08-05 → 2009-11-04
  Grove Point Investments, Llc
  Greenwood Village, CO
  Centennial, CO

Other Businesses

1. SRG Financial Inc.:INVESTMENT RELATED; 5350 SOUTH ROSLYN STREET, SUITE 370, GREENWOOD VILLAGE, CO 80111; FIXED AND TRADITIONAL INSURANCE, LIFE INSURANCE AND LONG TERM CARE; AGENT; 02/07/2006; 1 HOUR PER MONTH; 0 HOURS DURING TRADING HOURS; INSURANCE SALES 2. Name of other business: Fourest, LLC Investment related: Yes Address: Same as Registered Location Nature of business: DBA Position/title/relationship: Rep Start Date: 04/2009 Apx number of hours per week: 40 Apx number of hours during trading hours: 32.5 Brief description of duties: Rep

Exams

• S66 Uniform Combined State Law Examination
  2000-06-01

Other Names

• Steve Gates