Richard Weber Gates

LPl Financial LLC

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Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2017-01-06

IL RA
APPROVED

Since 2017-01-06

Branch Locations

1055 Lpl Way, Fort Mill, SC 29715 • United States

Chicago, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Fort Mill	SC	01/2016	Present

01/2016 → Present

Lpl Financial Llc

Fort Mill, SC

Previous Registrations

2012-04-09 → 2017-01-06

Lwi Financial Inc.

San Jose, CA

Chicago, IL

Chicago, IL
2008-04-16 → 2012-04-02

Cetera Investment Advisers Llc

Schaumburg, IL
2007-07-30 → 2008-04-14

Buckingham Strategic Wealth, Llc

St Louis, MO
2001-05-18 → 2007-05-08

Cetera Investment Advisers Llc

Schaumburg, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-04-30
S63	Uniform Securities Agent State Law Examination	1998-04-29

S66 Uniform Combined State Law Examination

2001-04-30
S63 Uniform Securities Agent State Law Examination

1998-04-29

Designations

Other Names

Richard W Gates
Richard Weber Gates
Richard Weber Gates

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.

BELLEAIR WEALTH MANAGEMENT, LLC

WEALTHCARE ADVISORY PARTNERS LLC

INSIGHT SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

SCHWAB WEALTH ADVISORY, INC.

PFS INVESTMENTS INC.

Other Investors

ALPESH JITENDRA PATEL

Tamrah Jennifer Bordini

MATTHEW N WALLEN

RAMIRO IGNACIO PARES

NILDA MELGAREJO DE BOYRIE

STEVEN Samuel SHANEYFELT

Katie Wineski Riegel

Christopher Wayne McAlister

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC

BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC

WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC

INSIGHT SECURITIES, INC. · Fort Mill, SC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Fort Mill, SC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC

EDWARD JONES · FORT MILL, SC

More in Fort Mill, SC

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