Tate J. Matthews

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CRD#: 4144391

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.

Tate J Matthews, who also goes by Tate Justis Matthews, was a registered financial professional .

Tate is a previously registered financial professional and started their career in finance in 2000. Tate had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tate Justis Matthews

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 15, 2025 - March 5, 2026

TOWNSEND

RIA

CRD#: 113681

WESTMINSTER, CO

Past

September 9, 2025 - March 6, 2026

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

Westminster, CO

Past

January 11, 2021 - July 29, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Lone Tree, CO

Past

January 3, 2012 - February 1, 2021

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

LONE TREE, CO

Past

March 16, 2005 - December 31, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Lone Tree, CO

Past

June 26, 2000 - July 29, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

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".

TOWNSEND

-TOWNSEND | TOWNSEND RETIREMENT SPECIALISTS | TOWNSEND & ASSOCIATES, INC. | TOWNSEND

CRD#: 113681 / SEC#: 801-66559

RIA

Registered Investment Advisory firm - (4/28/2006 Approved)

Colorado

Registered Investment Advisory firm - (5/31/2006 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.

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 66

Date: 3/15/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/21/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/2000

General Securities Representative Examination

Current Firm

TOWNSEND

-TOWNSEND | TOWNSEND RETIREMENT SPECIALISTS | TOWNSEND & ASSOCIATES, INC. | TOWNSEND

CRD#: 113681 / SEC#: 801-66559

RIA

Registered Investment Advisory firm - (4/28/2006 Approved)

Colorado

Registered Investment Advisory firm - (5/31/2006 Terminated)

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Contact information

Main Address

2761 W. 120th Ave., Suite 200, Westminster, CO 80234

Mailing Address

Phone number

(303) 452-5986

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B (2/7/2026)

Regulatory assets under management

Total Number of Accounts	3,662
AUM (Assets Under Management)	$ 1,520,130,422

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

Tate J. Matthews

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TOWNSEND

PRIVATE CLIENT SERVICES, LLC

CHARLES SCHWAB & CO., INC.

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

TOWNSEND

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2005

Series 63

Date: 8/21/2000

SIE

Date: 10/1/2018

Series 7

Date: 6/22/2000

Current Firm

TOWNSEND

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOWNSEND

TRUST BUT VERIFY

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