Michael J. Pate

SOUTHERN CAPITAL MANAGEMENT

NORTH CHARLESTON, SC 29418

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CRD#: 1892355

Professional summary

Michael James Pate is a registered financial advisor currently at SOUTHERN CAPITAL MANAGEMENT CORPORATION located in North Charleston, South Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Michael has worked at 2 firms and has passed the Series 65, Series 63, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Michael James Pate'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

November 27, 2013 - Present

SOUTHERN CAPITAL MANAGEMENT CORPORATION

Office #1: 3300 West Montague Avenue # 212, North Charleston, SC 29418

RIA

CRD#: 118508

NORTH CHARLESTON, SC

Past

July 29, 1993 - November 2, 1994

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

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.

Highlighted states indicate IAR registrations

IAR

Alabama
(11/24/2014)

IAR

North Carolina
(12/12/2013)

IAR

South Carolina
(11/27/2013)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/3/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/28/1993

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/12/1990

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/1994

General Securities Principal Examination

Current Firm

SOUTHERN CAPITAL MANAGEMENT CORPORATION

CRD#: 118508 / SEC#:

Alabama

Registered Investment Advisory firm - (11/20/2014 Approved)

North Carolina

Registered Investment Advisory firm - (2/5/2001 Approved)

South Carolina

Registered Investment Advisory firm - (7/5/1994 Approved)

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Contact information

Main Address

3300 West Montague Avenue # 212, North Charleston, SC 29418

Mailing Address

P.o. Box 21714, Charleston, SC 29413-1714

Phone number

(854) 800-1495

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	125
AUM (Assets Under Management)	$ 38,000,000

Red Flags

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

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Michael J. Pate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Pate's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHERN CAPITAL MANAGEMENT CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/3/1994

Series 63

Date: 8/19/1993

Series 7

Date: 7/28/1993

Series 3

Date: 11/12/1990

Series 24

Date: 1/27/1994

Current Firm

SOUTHERN CAPITAL MANAGEMENT CORPORATION

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOUTHERN CAPITAL MANAGEMENT CORPORATION

TRUST BUT VERIFY

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