James F. Tate
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Fallin Tate, CFP®, who also goes by James Tate, Jim Tate, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 4 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
July 3, 2007 - September 16, 2024
TATE WEALTH MANAGEMENT, LLC
April 1, 2003 - September 20, 2005
FERRIS, BAKER WATTS, LLC
March 21, 2003 - September 20, 2005
FERRIS, BAKER WATTS, LLC
June 10, 1999 - March 21, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 1999 - March 21, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 1994 - June 11, 1999
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TATE WEALTH MANAGEMENT, LLC
CRD#: 138803 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 18 |
| AUM (Assets Under Management) | $ 6,526,788 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
