Adam J. Tasse

SEAPORT WEALTH MANAGEMENT

Scottdale, AZ

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CRD#: 3259345

Professional summary

Adam James Tasse is a registered financial advisor currently at SEAPORT WEALTH MANAGEMENT located in Scottdale, Arizona.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Adam has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 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.

1) SEAPORT WEALTH MANAGEMENT (DBA): CA - CORPORATION, FINANCIAL ADVISOR, 100%. 2) FIXED INSURANCE SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam James Tasse'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®

None

Experience

Current

July 12, 2023 - Present

SEAPORT WEALTH MANAGEMENT

RIA

CRD#: 310684

Scottdale, AZ

Past

March 21, 2022 - March 13, 2023

NFSG CORPORATION

RIA

CRD#: 130814

PHOENIX, AZ

Past

November 28, 2007 - December 31, 2020

NFSG CORPORATION

RIA

CRD#: 130814

PHOENIX, AZ

Past

November 28, 2007 - March 13, 2023

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

SAN DIEGO, CA

Past

April 6, 2004 - June 6, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

April 6, 2004 - June 6, 2006

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

November 14, 2002 - March 25, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SAN DIEGO, CA

Past

November 11, 2002 - March 25, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 13, 2002 - November 7, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

May 9, 2000 - January 31, 2002

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

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
(7/12/2023)

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: 3/15/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/7/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/25/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/8/2000

General Securities Representative Examination

Current Firm

SEAPORT WEALTH MANAGEMENT

BALL, BRADLEY MAURICE | SEAPORT WEALTH MANAGEMENT

CRD#: 310684 / SEC#:

California

Registered Investment Advisory firm - (9/28/2020 Approved)

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Contact information

Main Address

San Diego, CA

Mailing Address

Phone number

(951) 399-4335

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 3,500,000

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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Adam J. Tasse

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam James Tasse's CRS (Customer Relationship Summary).

Certified licenses

Experience

NFSG CORPORATION

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

LPL FINANCIAL LLC

LPL FINANCIAL LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

NEW ENGLAND SECURITIES

KEYBANC CAPITAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2022

Series 63

Date: 3/7/2001

SIE

Date: 10/1/2018

Series 31

Date: 6/25/2004

Series 7

Date: 5/8/2000

Current Firm

SEAPORT WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SEAPORT WEALTH MANAGEMENT

TRUST BUT VERIFY

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