Michael Clarke Gates

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 03/2012 → 05/2018
  Morgan Stanley Smith Barney
  Newport Beach, CA
• 01/2015 → 05/2018
  Morgan Stanley Private Bank, National Association
  New York, NY
• 05/2018 → Present
  Lpl Finacial
  Seal Beach, CA

Previous Registrations

• 2012-04-02 → 2018-05-17
  Morgan Stanley
  Newport Beach, CA
  Newport Beach, CA
• 2011-01-03 → 2012-04-26
  Wells Fargo Clearing Services, Llc
  Irvine, CA
  Huntington Beach, CA
• 2004-09-02 → 2011-01-03
  Wells Fargo Investments, Llc
  Huntington Beach, CA
  Huntington Beach, CA
  Newport Beach, CA
  Huntington Beach, CA
  Huntington Beach, CA
  Huntington Beach, CA
  Newport Beach, CA

Other Businesses

1)05/14/2018 - DBA for LPL Business (entity for LPL business) - Gates Group Wealth Management - 100% - SEAL BEACH, CA 90740 2) 6/28/2018 - MJF Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:06/26/2018 - 1 Hours Per Month/1 Hours During Trading. 3). 02/15/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - start date:12/01/2018 - 1 hr/mo.

Exams

• S66 Uniform Combined State Law Examination
  2004-09-01
• S63 Uniform Securities Agent State Law Examination
  1998-02-11