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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

BRIAN CLARKE GATES

Advisor at LPL FINANCIAL LLC

HUNTINGTON BEACH, CA

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Search this name across graphsid dfx:ria:3525623f-484e-e78e-64b3-d6094a4f5d49

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Feb 4, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 21, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Sep 21, 1993
First registration: Feb 4, 2003
Dual registered: yes, broker-dealer
Other names: BRIAN C GATES
IAPD individual key: 2376972

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 24, 2025	n/a	yes	HUNTINGTON BEACH, CA	Current employment
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Jan 13, 2023	Apr 4, 2025	no	Anaheim, CA\|SAN DIEGO, CA\|Anaheim, CA	Previous registration
WESCOM FINANCIAL SERVICES, LLC	Former SEC adviser	Sep 12, 2012	Feb 6, 2023	no	PASADENA, CA\|ARCADIA, CA\|WEST COVINA, CA\|GLENDORA, CA\|ONTARIO, CA\|PASADENA, CA\|Anaheim, CA	Previous registration
MODERN CAPITAL ADVISORS, LLC	Independent wealth	Feb 7, 2012	Jul 9, 2012	no	RALEIGH, NC	Previous registration
CENTAURUS FINANCIAL, INC.	Bd affiliated wealth	Jun 28, 2007	Aug 25, 2010	no	ANAHEIM, CA\|NEWPORT BEACH, CA	Previous registration
BROOKSTREET SECURITIES CORPORATION	n/a	Jan 19, 2006	Jul 3, 2007	no	HUNTINGTON BEACH, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Feb 4, 2003	Aug 3, 2004	no	LONG BEACH, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CUSO FINANCIAL SERVICES, L.P.	LPL FINANCIAL LLC	Apr 4, 2025	Apr 24, 2025	20	Firm change	Ibd to ibd
WESCOM FINANCIAL SERVICES, LLC	CUSO FINANCIAL SERVICES, L.P.	Feb 6, 2023	Jan 13, 2023	-24	Firm change	RIA to ibd
MODERN CAPITAL ADVISORS, LLC	WESCOM FINANCIAL SERVICES, LLC	Jul 9, 2012	Sep 12, 2012	65	Firm change	Other
CENTAURUS FINANCIAL, INC.	MODERN CAPITAL ADVISORS, LLC	Aug 25, 2010	Feb 7, 2012	531	Firm change after gap	Other
BROOKSTREET SECURITIES CORPORATION	CENTAURUS FINANCIAL, INC.	Jul 3, 2007	Jun 28, 2007	-5	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	BROOKSTREET SECURITIES CORPORATION	Aug 3, 2004	Jan 19, 2006	534	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
42132:6413:CA:2025-04-04	Apr 4, 2025	Apr 24, 2025	ANAHEIM, CA	Firm change
125650:42132:CA:2023-02-06	Feb 6, 2023	Jan 13, 2023	ANAHEIM, CA	Firm change

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 24, 2025 to presentfactForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Jan 13, 2023 to Apr 4, 2025factForm ADV
→ WESCOM FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 12, 2012 to Feb 6, 2023factForm ADV
→ MODERN CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 7, 2012 to Jul 9, 2012factForm ADV
→ CENTAURUS FINANCIAL, INC.Registered adviserregistration: previous registration
Jun 28, 2007 to Aug 25, 2010factForm ADV
→ BROOKSTREET SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jan 19, 2006 to Jul 3, 2007factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Feb 4, 2003 to Aug 3, 2004factForm ADV

Dated events

Occurred
Apr 4, 2025
Advisor changed firm
Brian Clarke Gates left Cuso Financial Services, L.P. for Lpl Financial Llc (registered 2025-04-24)
Form ADVobserved 4 days ago
Occurred
Feb 6, 2023
Advisor changed firm
Brian Clarke Gates left Wescom Financial Services, Llc for Cuso Financial Services, L.P. (registered 2023-01-13)
Form ADVobserved 4 days ago