Tate H. Wingate

NEW EDGE WEALTH

Stamford, CT 06902

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CRD#: 2830666

Professional summary

Tate Heritage Wingate is a registered financial advisor currently at NEW EDGE WEALTH located in Stamford, Connecticut and NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.

Tate is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Tate has worked at 6 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 7, Series 10 and Series 9 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 Tate Heritage Wingate's CRS (Customer Relationship Summary).

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

April 22, 2025 - Present

NEW EDGE WEALTH

Office #1: 2200 Atlantic Street Suite 200, Stamford, CT 06902

RIA

CRD#: 307771

Stamford, CT

Current

April 21, 2025 - Present

NEWEDGE SECURITIES, LLC

Office #1: 2200 Atlantic Street 2nd Fl South, Stamford, CT 06902

CRD#: 10674

Stamford, CT

Past

March 6, 2023 - February 5, 2025

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

Westport, CT

Past

March 6, 2023 - February 5, 2025

RBC CAPITAL MARKETS, LLC

CRD#: 31194

Westport, CT

Past

November 12, 2020 - February 7, 2023

MORGAN STANLEY

RIA

CRD#: 149777

Greenwich, CT

Past

November 12, 2020 - February 7, 2023

MORGAN STANLEY

CRD#: 149777

Greenwich, CT

Past

June 12, 2015 - November 6, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Westport, CT

Past

June 12, 2015 - November 6, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Westport, CT

Past

January 24, 2012 - June 15, 2015

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

December 2, 2009 - June 15, 2015

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

January 28, 1997 - October 28, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEWTOWN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEW EDGE WEALTH

NEW EDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEW EDGE WEALTH LLC

CRD#: 307771 / SEC#: 801-118291

RIA

Registered Investment Advisory firm - (3/25/2020 Approved)

Maryland

Registered Investment Advisory firm - (2/28/2020 Terminated)

North Carolina

Registered Investment Advisory firm - (2/25/2020 Terminated)

South Dakota

Registered Investment Advisory firm - (2/24/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/24/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Connecticut
(4/22/2025)

IAR

Connecticut
(4/22/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/23/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/11/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/8/2021

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/27/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/15/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/15/2005

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

NEW EDGE WEALTH

NEW EDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEW EDGE WEALTH LLC

CRD#: 307771 / SEC#: 801-118291

RIA

Registered Investment Advisory firm - (3/25/2020 Approved)

Maryland

Registered Investment Advisory firm - (2/28/2020 Terminated)

North Carolina

Registered Investment Advisory firm - (2/25/2020 Terminated)

South Dakota

Registered Investment Advisory firm - (2/24/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/24/2020 Terminated)

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Contact information

Main Address

2200 Atlantic Street Suite 200, Stamford, CT 06902

Mailing Address

Phone number

(203) 424-2262

Established

Firm type

Fiscal year end

# of Employees

152

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEWEDGE WEALTH LLC WRAP FEE PROGRAM BROCHURE (3/31/2025)

NEWEDGE WEALTH FORM ADV PART 2A FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	14,680
AUM (Assets Under Management)	$ 12,064,984,416

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
12/22/2023	Cover Page	Report
01/27/2023	Cover Page	Report
07/28/2022	Cover Page	Report

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

Tate H. Wingate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tate Heritage Wingate's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWEDGE SECURITIES, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

MORGAN STANLEY

MORGAN STANLEY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

NEW EDGE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 1/23/2012

Series 63

Date: 2/11/1997

Series 3

Date: 10/8/2021

SIE

Date: 10/1/2018

Series 7

Date: 1/27/1997

Series 10

Date: 11/15/2006

Series 9

Date: 12/15/2005

FINRA

Nasdaq Stock Market

Current Firm

NEW EDGE WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NEW EDGE WEALTH

TRUST BUT VERIFY

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