Lawrence E. Palme

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

RANCHO SANTA FE, CA 92091

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CRD#: 2976241

Professional summary

Lawrence Edward Palme, who also goes by Larry Palme, is a registered financial advisor currently at "TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT" located in Rancho Santa Fe, California.

Lawrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Lawrence has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Larry Palme

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 Lawrence Edward Palme'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

January 17, 2017 - Present

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

Office #1: 5531 Cancha De Golf Suite #105, Rancho Santa Fe, CA 92091

RIA

CRD#: 160657

RANCHO SANTA FE, CA

Past

June 1, 2009 - January 27, 2017

MORGAN STANLEY

RIA

CRD#: 149777

SAN DIEGO, CA

Past

June 1, 2009 - January 27, 2017

MORGAN STANLEY

CRD#: 149777

SAN DIEGO, CA

Past

October 14, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SAN DIEGO, CA

Past

October 10, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SAN DIEGO, CA

Past

July 21, 2003 - October 31, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN DIEGO, CA

Past

July 21, 2003 - October 31, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN DIEGO, CA

Past

July 1, 2003 - July 24, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN DIEGO, CA

Past

July 1, 2003 - July 24, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 28, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

SAN DIEGO, CA

Past

July 13, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 19, 1998 - July 14, 1998

FORTRESS FINANCIAL GROUP, LTD.

CRD#: 42414

ISLE OF PALMS, SC

Past

December 15, 1997 - February 9, 1998

LLOYD WADE SECURITIES INC.

CRD#: 39653

DALLAS, TX

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".

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

CRD#: 160657 / SEC#: 801-110370

RIA

Registered Investment Advisory firm - (4/24/2017 Approved)

California

Registered Investment Advisory firm - (5/28/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2017 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.

Highlighted states indicate IAR registrations

IAR

California
(1/17/2017)

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: 10/1/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/3/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/10/1997

General Securities Representative Examination

Current Firm

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

CRD#: 160657 / SEC#: 801-110370

RIA

Registered Investment Advisory firm - (4/24/2017 Approved)

California

Registered Investment Advisory firm - (5/28/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2017 Terminated)

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Contact information

Main Address

5531 Cancha De Golf Suite #105, Rancho Santa Fe, CA 92091

Mailing Address

Phone number

(888) 500-9267

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TATE ASSET MANAGEMENT ADV PART 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	624
AUM (Assets Under Management)	$ 322,995,213

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

Lawrence E. Palme

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Edward Palme's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

FORTRESS FINANCIAL GROUP, LTD.

LLOYD WADE SECURITIES INC.

Primary Firm SEC Registration

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/1998

Series 63

Date: 12/15/1997

SIE

Date: 1/27/2017

Series 31

Date: 6/3/2002

Series 7

Date: 12/10/1997

Current Firm

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

TRUST BUT VERIFY

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