Brian 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

• 09/2012 → 04/2025
  Wescom Financial Services
  Pasadena, CA
• 01/2023 → 04/2025
  Cuso Financial Services, Lp
  San Diego, CA
• 04/2025 → Present
  Lpl Financial
  Huntington Beach, CA

Previous Registrations

• 2023-01-13 → 2025-04-04
  Cuso Financial Services, L.P.
  Anaheim, CA
  Anaheim, CA
  San Diego, CA
• 2012-09-12 → 2023-02-06
  Wescom Financial Services
  Pasadena, CA
  Arcadia, CA
  West Covina, CA
  Glendora, CA
  Ontario, CA
  Pasadena, CA
  Anaheim, CA
• 2012-02-07 → 2012-07-09
  Modern Capital Advisors, Llc
  Raleigh, NC
• 2007-06-28 → 2010-08-25
  Centaurus Financial, Inc.
  Anaheim, CA
  Newport Beach, CA
• 2006-01-19 → 2007-07-03
  Brookstreet Securities Corporation
  Huntington Beach, CA
• 2003-02-04 → 2004-08-03
  Banc Of America Investment Services, Inc.
  Long Beach, CA

Other Businesses

1 - 04/2025 - Gates Group Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related - 40 Hours/Month - 7 Hours During Trading - At reported business location(s). 2 - 04/2025 - Brian Gates - Real Estate Rental - Inv Related - 2 Hours/Month - CA 92649 - OBA Start Date: 01/01/2008.

Exams

• S66 Uniform Combined State Law Examination
  2003-04-07
• S63 Uniform Securities Agent State Law Examination
  1993-09-21

Other Names

• Brian C Gates