LT
Lawrence B. Tate
CETERA INVESTMENT ADVISERS LLC
ELK RIVER, MN 55330
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CRD#: 3274512
LT
Professional summary
Lawrence Bernard Tate, ChFC®, who also goes by Larry Tate, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Elk River, Minnesota and CETERA WEALTH SERVICES, LLC located in Elk River, Minnesota.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Lawrence has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Larry 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.
1) NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 06/01/2011 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Agent/Broker 2) FOSTER KLIMA AND COMPANY POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2007 ADDRESS: 920 Second Avenue South, Suite 1100, Minneapolis MN 55402, United States DESCRIPTION: Group Life, Group STD, Group and Individual LTD. 3) BLUE OCEAN HOLDINGS, LLC POSITION: Member NATURE: LLC to hold our office condo real estate purchase INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/04/2021 ADDRESS: 11040 183rd Circle NW, A, Elk River MN 55330, United States DESCRIPTION: LLC to purchase an office condo to run our practices out of. 4) MIDWEST WEALTH ADVISORS POSITION: Owner NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/01/2012 ADDRESS: 11040 183rd Circle NW Ste A, Elk River MN 55330, United States DESCRIPTION: Operating name. 5) VRBO AND AIRBNB FOR FLORIDA CONDO POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 02/18/2022 ADDRESS: 1310 Gulf Blvd, Unit 18B, Clearwater FL 33767, United States DESCRIPTION: We own a condo in Florida that is our vacation home; 6) NAME OF OTHER BUSINESS: VRBO DBA LAWRENCE TATE 11G; INVESTMENT RELATED: NO; ADDRESS: 1310 GULF BLVD, UNIT 11G, CLEARWATER, FL 33767; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 9/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 0.5; BRIEF DESCRIPTION OF DUTIES: SET PRICING ON VRBO FOR OUR VACATION HOME/RENTAL AND COMMUNICATE WITH RENTERS, CLEANING PEOPLE, HANDYMAN, AND FOLKS WHO WORK FOR THE BUILDINGS ASSOCIATION; 7) NAME OF OTHER BUSINESS: CRESCENT BEACH CLUB ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 1310 GULF BLVD CLEARWATER BEACH, FL 33767; NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS, REVIEW WORK ORDERS AND ESTIMATES FOR REPAIRS, VOTE ON COMMUNITY ISSUES;
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Bernard Tate'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®
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 11040 183rd Circle Nw St A, Elk River, MN 55330Office #2: 1310 Gulf Blvd, Clearwater, FL 33767RIA
CRD#: 105644
ELK RIVER, MN
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 11040 183rd Circle Nw Suite A, Elk River, MN 55330BD
CRD#: 13572
Elk River, MN
Past
December 23, 2013 - October 19, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
Elk River, MN
Past
December 23, 2013 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Elk River, MN
Past
August 14, 1999 - October 19, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
Elk River, MN
Past
August 14, 1999 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Elk River, MN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
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
RR
Alabama(8/10/2023)
RR
Arizona(8/10/2023)
RR
Arkansas(8/10/2023)
RR
Colorado(5/22/2024)
RR
Florida(8/11/2023)
RR
Georgia(8/10/2023)
RR
Idaho(8/10/2023)
RR
Iowa(9/18/2023)
RR
Kansas(8/10/2023)
RR
Kentucky(8/10/2023)
RR
Minnesota(8/10/2023)
IAR
Minnesota(8/10/2023)
RR
Montana(10/19/2023)
RR
New Jersey(1/5/2024)
RR
North Carolina(8/10/2023)
RR
Oregon(8/10/2023)
RR
South Carolina(8/10/2023)
RR
South Dakota(8/10/2023)
RR
Tennessee(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Wisconsin(8/10/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Elk River, MN 55330TRUST BUT VERIFY
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