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Christopher I Mates

TAG CAPITAL PARTNERS

NEW YORK, NY

·CRD# 1578766·38 years experience

Professional Summary

Christopher I Mates, who also goes by Christopher I Mates, is a registered financial advisor currently at TAG CAPITAL PARTNERS located in New York, New York. Christopher is registered as a RR (Registered Representative) and started their career in finance in 1990. Christopher has worked at 9 firms and has passed the Series 63, Series 82TO, Series 99TO, Series 57TO, SIE, Series 79, Series 7, Series 15, Series 3, Series 10, Series 9, Series 14,...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Christopher I Mates

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

38 years in the financial services industry

Current & Past Employments

TAG CAPITAL PARTNERS·CRD# 318850

BD

275 Madison Ave 30th Floor, New York, NY 10016

June 22, 2026 - Present

STOCKPILE INVESTMENTS, INC.·CRD# 156170

BD

San Francisco, CA

December 5, 2023 - February 4, 2025

DISRUPTIVE SECURITIES·CRD# 299155

BD

Los Angeles, CA

October 23, 2019 - December 1, 2023

ASPIRATION FINANCIAL LLC·CRD# 291904

BD

Marina Del Rey, CA

December 11, 2018 - September 12, 2019

OPUS FINANCIAL PARTNERS, LLC·CRD# 172146

BD

Irvine, CA

August 31, 2017 - September 7, 2018

LIQUID CAPITAL MARKETS, LLC·CRD# 148368

BD

Chicago, IL

July 28, 2011 - September 9, 2015

LIQUID CAPITAL SECURITIES, LLC·CRD# 148758

BD

Evanston, IL

May 7, 2009 - June 29, 2019

LIQUID CAPITAL MARKETS, LLC·CRD# 148368

BD

Chicago, IL

February 3, 2009 - November 19, 2010

NEWEDGE FINANCIAL INC.·CRD# 27322

BD

Chicago, IL

April 29, 2002 - July 6, 2007

PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471

BD

New York, NY

February 26, 1990 - May 1, 2001

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Current Firm

TC

TAG CAPITAL PARTNERS

TAG CAPITAL PARTNERS | TAG CAPITAL PARTNERS LLC

CRD#: 318850 / SEC#: 8-70927

BD

Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

275 Madison Ave 30th Floor, New York, NY 10016

Mailing Address

275 Madison Ave 30th Floor, New York, NY 10016

Phone Number

(212) 993-7400

Established

New York since 01/06/2022

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
TAG FINANCIAL INSTITUTIONS GROUP, LLC	OWNER	—
MATES, CHRISTOPHER I	CHIEF COMPLIANCE OFFICER / AMLCO	1578766
NIGRO, STEVEN HAROLD	CHIEF EXECUTIVE OFFICER / FINOP	1384876

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

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

RR

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

RR

Alabama
(6/22/2026)

RR

Alaska
(6/22/2026)

RR

Arizona
(6/22/2026)

RR

Arkansas
(6/22/2026)

RR

California
(6/22/2026)

RR

Colorado
(6/22/2026)

RR

Connecticut
(6/22/2026)

RR

Delaware
(6/22/2026)

RR

District of Columbia
(6/22/2026)

RR

Florida
(6/22/2026)

RR

Georgia
(6/22/2026)

RR

Hawaii
(6/22/2026)

RR

Idaho
(6/22/2026)

RR

Illinois
(6/22/2026)

RR

Indiana
(6/22/2026)

RR

Iowa
(6/22/2026)

RR

Kansas
(6/22/2026)

RR

Kentucky
(6/22/2026)

RR

Louisiana
(6/22/2026)

RR

Maine
(6/22/2026)

RR

Maryland
(6/22/2026)

RR

Massachusetts
(6/22/2026)

RR

Michigan
(6/22/2026)

RR

Minnesota
(6/22/2026)

RR

Mississippi
(6/22/2026)

RR

Missouri
(6/22/2026)

RR

Montana
(6/22/2026)

RR

Nebraska
(6/22/2026)

RR

Nevada
(6/22/2026)

RR

New Hampshire
(6/22/2026)

RR

New Jersey
(6/22/2026)

RR

New Mexico
(6/22/2026)

RR

New York
(6/22/2026)

RR

North Carolina
(6/22/2026)

RR

North Dakota
(6/22/2026)

RR

Ohio
(6/22/2026)

RR

Oklahoma
(6/22/2026)

RR

Oregon
(6/22/2026)

RR

Pennsylvania
(6/22/2026)

RR

Rhode Island
(6/22/2026)

RR

South Carolina
(6/22/2026)

RR

South Dakota
(6/22/2026)

RR

Tennessee
(6/22/2026)

RR

Texas
(6/22/2026)

RR

Utah
(6/22/2026)

RR

Vermont
(6/22/2026)

RR

Virginia
(6/22/2026)

RR

Washington
(6/22/2026)

RR

West Virginia
(6/22/2026)

RR

Wisconsin
(6/22/2026)

RR

Wyoming
(6/22/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2008About the Series 63 exam

Series 82TO — Limited Representative-Private Securities Offerings

Passed Jan 2023About the Series 82TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 79 — Investment Banking Registered Representative Examination

Passed Aug 2018About the Series 79 exam

Series 7 — General Securities Representative Examination

Passed Apr 1994About the Series 7 exam

Series 15 — Foreign Currency Options Examination

Passed Feb 1990

Series 3 — National Commodity Futures Examination

Passed Feb 1988About the Series 3 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Jan 2023About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Jan 2023About the Series 9 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 4 — Registered Options Principal Examination

Passed Jul 2017About the Series 4 exam

Series 27 — Financial and Operations Principal Examination

Passed Sep 2016About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Dec 2008About the Series 24 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Oct 1997

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Christopher I Mates's CRS (Customer Relationship Summary).

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CM

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