Tate J. Matthews

TOWNSEND

Westminster, CO 80234

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CRD#: 4144391

Professional summary

Tate J Matthews, who also goes by Tate Justis Matthews, is a registered financial advisor currently at TOWNSEND located in Westminster, Colorado and PRIVATE CLIENT SERVICES, LLC located in Westminster, Colorado.

Tate is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Tate has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Townsend. 2761 W 120th Ave, #200, Westminster, CO 80234. RIA. 160 hrs/mo; 160 during trading hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tate J Matthews'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®

None

Experience

Current

September 15, 2025 - Present

TOWNSEND

Office #1: 2761 W. 120th Ave., Suite 200, Westminster, CO 80234

RIA

CRD#: 113681

Westminster, CO

Current

September 9, 2025 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 2761 W 120th Ave #200, Westminster, CO 80234

RIA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Colorado
(9/9/2025)

IAR

Colorado
(9/15/2025)

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. Note: This rule does not apply to broker-dealer activity.

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

SRO Registrations

FINRA

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 (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B (10/20/2025)

Regulatory assets under management

Total Number of Accounts	1,491
AUM (Assets Under Management)	$ 1,276,115,828

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) - RIA

Click below to view Tate J Matthews's CRS (Customer Relationship Summary).

Certified licenses

Experience

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

FINRA

Current Firm

TOWNSEND

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOWNSEND

TRUST BUT VERIFY

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