Michael Dwight Pate | Financial Professional

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.

Michael Dwight Pate, who also goes by Michael D Pate, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Michael D Pate

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.

1) One Ascent Wealth Management dba Navigator Financial. Investment-related. Located at 917 N Main St, Bluffton, IN 46714. RIA. Investment Advisor Representative. Start: 10/2022. 150 hrs/month; all during trading hours. Wealth management, financial planning, financial advisor. 3) Fixed Insurance. Investment-related. Located at 917 N Main St, Bluffton, IN 46714. Fixed / Traditional Insurance. Agent. Start: 08/1999. 5 hrs/month; all during trading hours. Sales of fixed / traditional insurance products.

Blog Corner

CRS (Client Relationship Summary)

June 23, 1999 - June 22, 2001

EDWARD JONES

BD

CRD#: 250

ST. LOUIS, MO

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".

OF

ONEASCENT FINANCIAL SERVICES LLC

CRD#: 284549 / SEC#: 801-108265

RIA

Registered Investment Advisory firm - (8/24/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/8/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 6/24/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 6/22/1999

General Securities Representative Examination

Current Firm

OF

ONEASCENT FINANCIAL SERVICES LLC

CRD#: 284549 / SEC#: 801-108265

RIA

Registered Investment Advisory firm - (8/24/2016 Approved)

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Contact information

Main Address

23 Inverness Parkway, Birmingham, AL 35242

Mailing Address

Phone number

(205) 313-9142

Established

Firm type

Fiscal year end

# of Employees

125

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OAFS ADV PART 2A (9/4/2025)

Regulatory assets under management

Total Number of Accounts	11,150
AUM (Assets Under Management)	$ 2,610,953,335

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

Michael D. Pate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

INVESTMENT CENTERS OF AMERICA, INC.

INVESTMENT CENTERS OF AMERICA, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

FIDUCIAL INVESTMENT ADVISORS, INC.

EDWARD JONES

Primary Firm SEC Registration

ONEASCENT FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/2002

Series 63

Date: 6/24/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/22/1999

Current Firm

ONEASCENT FINANCIAL SERVICES LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ONEASCENT FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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