Shanon J. Tate

CAPTRUST WEALTH ADVISORS

Holland, MI 49423

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CRD#: 4967366

Professional summary

Shanon Jean Tate is a registered financial advisor currently at CAPTRUST WEALTH ADVISORS located in Holland, Michigan.

Shanon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Shanon has worked at 2 firms and has passed the Series 66, SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shanon Jean Tate'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

May 13, 2015 - Present

CAPTRUST WEALTH ADVISORS

Office #1: 85 E 8th Street Suite 150, Holland, MI 49423

RIA

CRD#: 173736

Holland, MI

Past

June 19, 2006 - April 2, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

HOLLAND, MI

Past

March 14, 2006 - April 2, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

HOLLAND, MI

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".

CAPTRUST WEALTH ADVISORS

CRD#: 173736 / SEC#: 801-80687

RIA

Registered Investment Advisory firm - (1/2/2015 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.

Highlighted states indicate IAR registrations

IAR

Michigan
(5/13/2015)

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: 6/16/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/2/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/2006

General Securities Representative Examination

Current Firm

CAPTRUST WEALTH ADVISORS

CRD#: 173736 / SEC#: 801-80687

RIA

Registered Investment Advisory firm - (1/2/2015 Approved)

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Contact information

Main Address

85 E 8th Street Suite 150, Holland, MI 49423

Mailing Address

Phone number

(616) 392-5332

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPTRUST WEALTH ADVISORS DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	2,912
AUM (Assets Under Management)	$ 1,889,548,733

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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Shanon J. Tate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shanon Jean Tate's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPTRUST WEALTH ADVISORS

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Primary Firm SEC Registration

CAPTRUST WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/16/2006

SIE

Date: 4/2/2015

Series 7

Date: 3/13/2006

Current Firm

CAPTRUST WEALTH ADVISORS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPTRUST WEALTH ADVISORS

TRUST BUT VERIFY

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