BT
Brian D. Tate
REGIONS SECURITIES LLC
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 2740081
BT
Professional summary
Brian Douglas Tate, who also goes by Brian Tate, is a registered financial professional currently at REGIONS SECURITIES LLC located in Charlotte, North Carolina.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Brian Douglas Tate'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®
NoneExperience
Current
July 18, 2014 - Present
REGIONS SECURITIES LLC
Office #1: 615 South College Street, Charlotte, NC 28202BD
CRD#: 159475
Charlotte, NC
Past
July 1, 2003 - July 1, 2014
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
August 28, 1996 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 19002
CHARLOTTE, NC
Past
June 10, 1996 - October 2, 1996
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/18/2014)
RR
Alaska(7/18/2014)
RR
Arizona(7/18/2014)
RR
Arkansas(7/18/2014)
RR
California(7/18/2014)
RR
Colorado(7/18/2014)
RR
Connecticut(7/18/2014)
RR
Delaware(7/18/2014)
RR
District of Columbia(7/18/2014)
RR
Florida(7/18/2014)
RR
Georgia(7/18/2014)
RR
Hawaii(7/18/2014)
RR
Idaho(7/18/2014)
RR
Illinois(7/18/2014)
RR
Indiana(7/18/2014)
RR
Iowa(7/18/2014)
RR
Kansas(7/18/2014)
RR
Kentucky(7/18/2014)
RR
Louisiana(7/18/2014)
RR
Maine(7/18/2014)
RR
Maryland(7/18/2014)
RR
Massachusetts(7/18/2014)
RR
Michigan(7/18/2014)
RR
Minnesota(7/18/2014)
RR
Mississippi(7/18/2014)
RR
Missouri(7/18/2014)
RR
Montana(7/18/2014)
RR
Nebraska(7/18/2014)
RR
Nevada(7/18/2014)
RR
New Hampshire(7/18/2014)
RR
New Jersey(7/18/2014)
RR
New Mexico(7/18/2014)
RR
New York(7/18/2014)
RR
North Carolina(7/18/2014)
RR
North Dakota(7/18/2014)
RR
Ohio(7/18/2014)
RR
Oklahoma(7/18/2014)
RR
Oregon(7/18/2014)
RR
Pennsylvania(7/18/2014)
RR
Rhode Island(7/18/2014)
RR
South Carolina(7/18/2014)
RR
South Dakota(7/18/2014)
RR
Tennessee(7/18/2014)
RR
Texas(7/18/2014)
RR
Utah(7/18/2014)
RR
Vermont(7/18/2014)
RR
Virginia(7/18/2014)
RR
Washington(7/18/2014)
RR
West Virginia(7/18/2014)
RR
Wisconsin(7/18/2014)
RR
Wyoming(7/18/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RS
REGIONS SECURITIES LLC
REGIONS SECURITIES | REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Mailing Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Phone number
(404) 279-7400
Established
Delaware since 10/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
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.
