Christopher A. Tate

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

RANCHO SANTA FE, CA 92091

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CRD#: 3241655

Professional summary

Christopher Alan Tate, CFP®, who also goes by Chris Tate, Christopher A Tate, is a registered financial advisor currently at "TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT" located in Rancho Santa Fe, California.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Christopher has worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Tate | Christopher A 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.

LICENSED TO SELL LIFE INSURANCE IN CALIFORNIA-INDEPENDENT AGENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Alan Tate'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

October 16, 2012 - 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 14, 2010 - September 4, 2012

ADVANCED PRACTICE ADVISORS, LLC

RIA

CRD#: 154084

SAN DIEGO, CA

Past

June 1, 2009 - August 12, 2009

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

SAN DIEGO, CA

Past

May 12, 2009 - December 3, 2010

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

SAN DIEGO, CA

Past

January 31, 2000 - May 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN DIEGO, CA

Past

July 28, 1999 - May 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN DIEGO, CA

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
(10/16/2012)

IAR

Texas
(10/16/2012)

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 66

Date: 11/8/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/16/1999

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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Christopher A. Tate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Alan Tate's CRS (Customer Relationship Summary).

Certified licenses

Experience

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

ADVANCED PRACTICE ADVISORS, LLC

PURSHE KAPLAN STERLING INVESTMENTS

CONCERT WEALTH MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/1999

Series 7

Date: 6/16/1999

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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