Michael G. Tate

CETERA INVESTMENT ADVISERS

Half Moon Bay, CA

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CRD#: 1349111

Professional summary

Michael Gerard Tate, CFP®, who also goes by Mike Tate, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Half Moon Bay, California and CETERA ADVISORS LLC located in San Ramon, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 18 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 22, Series 24 and Series 39 exams.

Aliases

Mike Tate

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. NAME OF OTHER BUSINESS: BAY AREA WEALTH MANAGEMENT GROUP LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2015 POSITION/TITLE/RELATIONSHIP: WEALTH MANAGER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Gerard Tate's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

July 24, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 12647 Alcosta Blvd Suite 200, San Ramon, CA 94583

RIA

CRD#: 105644

Half Moon Bay, CA

Current

July 23, 2026 - Present

CETERA ADVISORS LLC

Office #1: 12647 Alcosta Blvd Suite 370, San Ramon, CA 94583

CRD#: 10299

San Ramon, CA

Past

January 19, 2024 - July 27, 2026

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SAN RAMON, CA

Past

January 19, 2024 - July 27, 2026

OSAIC WEALTH, INC.

CRD#: 23131

SAN RAMON, CA

Past

June 18, 2019 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

SAN RAMON, CA

Past

June 17, 2019 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

SAN RAMON, CA

Past

February 23, 2015 - June 18, 2019

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

SAN MATEO, CA

Past

February 19, 2015 - June 18, 2019

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

SAN MATEO, CA

Past

January 2, 2015 - March 3, 2015

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SAN RAMON, CA

Past

January 2, 2015 - March 3, 2015

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SAN RAMON, CA

Past

March 17, 2004 - January 2, 2015

NEW ENGLAND SECURITIES

RIA

CRD#: 615

SAN RAMON, CA

Past

February 9, 2004 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

SAN RAMON, CA

Past

November 14, 2003 - January 30, 2004

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

SAN JOSE, CA

Past

October 15, 2003 - January 30, 2004

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

January 2, 1998 - September 26, 2003

WS GRIFFITH SECURITIES, INC.

RIA

CRD#: 10410

WALNUT CREEK, CA

Past

February 2, 1995 - September 26, 2003

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

May 20, 1993 - February 8, 1995

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

Past

August 28, 1992 - March 2, 1993

M.A. GILLESPIE INVESTMENT CORP.

CRD#: 10355

TARZANA, CA

Past

October 28, 1991 - December 31, 1991

M.S. EQUITIES, INC.

CRD#: 16772

Past

October 8, 1990 - August 27, 1991

EIC CAPITAL CORPORATION

CRD#: 25331

Past

March 31, 1990 - June 19, 1990

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

July 28, 1989 - February 13, 1990

E.F. DALY FINANCIAL GROUP

CRD#: 20434

Past

September 9, 1987 - December 21, 1989

BRAD PEERY INC.

CRD#: 15035

Past

August 5, 1986 - August 20, 1987

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Past

August 19, 1985 - June 18, 1986

AMERICANA CAPITAL INCORPORATED

CRD#: 15662

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/3/2026)

Arkansas
(7/29/2026)

California
(7/24/2026)

IAR

California
(7/24/2026)

Florida
(7/24/2026)

Idaho
(7/24/2026)

Michigan
(7/27/2026)

Missouri
(7/24/2026)

Nevada
(7/24/2026)

North Carolina
(7/28/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/31/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/9/1985

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/9/1993

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 7/31/1985

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

PREMIUM

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael G. Tate

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Gerard Tate's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

INTERFIRST CAPITAL CORPORATION

M.A. GILLESPIE INVESTMENT CORP.

M.S. EQUITIES, INC.

EIC CAPITAL CORPORATION

METLIFE INVESTORS DISTRIBUTION COMPANY

E.F. DALY FINANCIAL GROUP

BRAD PEERY INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

AMERICANA CAPITAL INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/1985

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1986

Series 22

Date: 5/9/1985

Series 24

Date: 8/9/1993

Series 39

Date: 7/31/1985

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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