Christopher I. Mates

TAG CAPITAL PARTNERS

NEW YORK, NY 10016

CRD#: 1578766

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Professional summary

Christopher I Mates, who also goes by Christopher I Mates, is a registered financial professional 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, Series 4, Series 27, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher I Mates

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher I Mates's 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®

None

Experience

Current

June 22, 2026 - Present

TAG CAPITAL PARTNERS

Office #1: 275 Madison Ave 30th Floor, New York, NY 10016

CRD#: 318850

NEW YORK, NY

Past

December 5, 2023 - February 4, 2025

STOCKPILE INVESTMENTS, INC.

CRD#: 156170

SAN FRANCISCO, CA

Past

October 23, 2019 - December 1, 2023

DISRUPTIVE SECURITIES

CRD#: 299155

LOS ANGELES, CA

Past

December 11, 2018 - September 12, 2019

ASPIRATION FINANCIAL LLC

CRD#: 291904

MARINA DEL REY, CA

Past

August 31, 2017 - September 7, 2018

OPUS FINANCIAL PARTNERS, LLC

CRD#: 172146

Irvine, CA

Past

July 28, 2011 - September 9, 2015

LIQUID CAPITAL MARKETS, LLC

CRD#: 148368

CHICAGO, IL

Past

May 7, 2009 - June 29, 2019

LIQUID CAPITAL SECURITIES, LLC

CRD#: 148758

Evanston, IL

Past

February 3, 2009 - November 19, 2010

LIQUID CAPITAL MARKETS, LLC

CRD#: 148368

CHICAGO, IL

Past

April 29, 2002 - July 6, 2007

NEWEDGE FINANCIAL INC.

CRD#: 27322

CHICAGO, IL

Past

February 26, 1990 - May 1, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

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

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

Alabama
(6/22/2026)

Alaska
(6/22/2026)

Arizona
(6/22/2026)

Arkansas
(6/22/2026)

California
(6/22/2026)

Colorado
(6/22/2026)

Connecticut
(6/22/2026)

Delaware
(6/22/2026)

District of Columbia
(6/22/2026)

Florida
(6/22/2026)

Georgia
(6/22/2026)

Hawaii
(6/22/2026)

Idaho
(6/22/2026)

Illinois
(6/22/2026)

Indiana
(6/22/2026)

Iowa
(6/22/2026)

Kansas
(6/22/2026)

Kentucky
(6/22/2026)

Louisiana
(6/22/2026)

Maine
(6/22/2026)

Maryland
(6/22/2026)

Massachusetts
(6/22/2026)

Michigan
(6/22/2026)

Minnesota
(6/22/2026)

Mississippi
(6/22/2026)

Missouri
(6/22/2026)

Montana
(6/22/2026)

Nebraska
(6/22/2026)

Nevada
(6/22/2026)

New Hampshire
(6/22/2026)

New Jersey
(6/22/2026)

New Mexico
(6/22/2026)

New York
(6/22/2026)

North Carolina
(6/22/2026)

North Dakota
(6/22/2026)

Ohio
(6/22/2026)

Oklahoma
(6/22/2026)

Oregon
(6/22/2026)

Pennsylvania
(6/22/2026)

Rhode Island
(6/22/2026)

South Carolina
(6/22/2026)

South Dakota
(6/22/2026)

Tennessee
(6/22/2026)

Texas
(6/22/2026)

Utah
(6/22/2026)

Vermont
(6/22/2026)

Virginia
(6/22/2026)

Washington
(6/22/2026)

West Virginia
(6/22/2026)

Wisconsin
(6/22/2026)

Wyoming
(6/22/2026)

Exams

State Security Law Exam

Series 63

Date: 7/15/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/16/2018

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 4/5/1994

General Securities Representative Examination

General Industry/Product Exam

Series 15

Date: 2/22/1990

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 2/22/1988

National Commodity Futures Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 7/14/2017

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 9/26/2016

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/30/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 10/28/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

TAG CAPITAL PARTNERS

TAG CAPITAL PARTNERS | TAG CAPITAL PARTNERS LLC

CRD#: 318850 / SEC#: , 8-70927

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

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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

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TAG FINANCIAL INSTITUTIONS GROUP, LLC	OWNER
BROWN, EVAN	CHIEF COMPLIANCE OFFICER	6563464
NIGRO, STEVEN HAROLD	CHIEF EXECUTIVE OFFICER / FINOP	1384876

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

Christopher I. Mates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

STOCKPILE INVESTMENTS, INC.

DISRUPTIVE SECURITIES

ASPIRATION FINANCIAL LLC

OPUS FINANCIAL PARTNERS, LLC

LIQUID CAPITAL MARKETS, LLC

LIQUID CAPITAL SECURITIES, LLC

LIQUID CAPITAL MARKETS, LLC

NEWEDGE FINANCIAL INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/15/2008

Series 82TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 8/16/2018

Series 7

Date: 4/5/1994

Series 15

Date: 2/22/1990

Series 3

Date: 2/22/1988

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 14

Date: 1/2/2023

Series 4

Date: 7/14/2017

Series 27

Date: 9/26/2016

Series 24

Date: 12/30/2008

Series 8

Date: 10/28/1997

FINRA

Current Firm

TAG CAPITAL PARTNERS

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TAG CAPITAL PARTNERS

TRUST BUT VERIFY

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