Nina P. Tate

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CRD#: 4958859

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.

Nina Parks Tate, CFP®, who also goes by Nina Kay Huey, Nina Kay Parks, was a registered financial professional .

Nina is a previously registered financial professional and started their career in finance in 2005. Nina had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nina Kay Huey | Nina Kay Parks

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. Since 12/21/1998, I have been the Trustee of the Leland E. and Nina P. Tate Family Trust, an investment related entity, located at 4740 Post Oak Timber Dr., Unit 44, Houston, TX 77056. Duties include estate planning updates. Less than 1 hour per month is devoted to this entity; none of the time during security trading hours. 2. Since 08/31/2012, I have been the Manager of an investment related estate planning firm, TECHTATE LLC, the General Partner of Red Raider LP, located at 4740 Post Oak Timber Dr., Unit 44, Houston, TX 77056. Duties include general management of LLC and investment management.Approximately 2 hours per month is devoted to this entity; all of the time during security trading hours. 3. Since 10/31/2008, I have been the Trustee for Billy W. Parks After Tax Trust, an investment related entity, located at 4740 Post Oak Timber Dr., Unit 44, Houston, TX 77056. Duties include laddering CDs, income distribution and tax filing for this income trust for decedent's surviving spouse. Less than 1 hour per month is devoted to this entity; all of the time during security trading hours.

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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Past

April 18, 2019 - March 27, 2022

TANGLEWOOD LEGACY ADVISORS, LLC

RIA

CRD#: 127289

HOUSTON, TX

Past

January 2, 2009 - May 22, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

January 2, 2009 - May 22, 2019

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

July 22, 2005 - January 7, 2009

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

HOUSTON, TX

Past

June 13, 2005 - January 7, 2009

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

HOUSTON, TX

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".

TANGLEWOOD LEGACY ADVISORS, LLC

LIFE PRIORITY PLANNING, LLC | TANGLEWOOD LEGACY ADVISORS, LLC

CRD#: 127289 / SEC#: 801-107793

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

Texas

Registered Investment Advisory firm - (5/23/2016 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: 7/21/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/12/2005

General Securities Representative Examination

Current Firm

TANGLEWOOD LEGACY ADVISORS, LLC

LIFE PRIORITY PLANNING, LLC | TANGLEWOOD LEGACY ADVISORS, LLC

CRD#: 127289 / SEC#: 801-107793

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

Texas

Registered Investment Advisory firm - (5/23/2016 Terminated)

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Contact information

Main Address

One Riverway, Suite 1550, Houston, TX 77056

Mailing Address

Phone number

(713) 599-4999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/2/2025)

Regulatory assets under management

Total Number of Accounts	522
AUM (Assets Under Management)	$ 562,079,455

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nina P. Tate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TANGLEWOOD LEGACY ADVISORS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

TANGLEWOOD LEGACY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/21/2005

SIE

Date: 10/1/2018

Series 7

Date: 6/12/2005

Current Firm

TANGLEWOOD LEGACY ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TANGLEWOOD LEGACY ADVISORS, LLC

TRUST BUT VERIFY

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