JAMES V. TATE

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CRD#: 5091170

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.

JAMES VINCENT TATE, who also goes by James V Tate, was a registered financial professional .

JAMES is a previously registered financial professional and started their career in finance in 2006. JAMES had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

Jim began his career in financial services as a CPA. He joined RBC with Steve Cordasco and, together, they built a team that tripled in size over six years. In 2012, Jim moved with Steve to form Cordasco Financial Network as an independent advisory firm. The two continued to build a complementary team where they could serve clients by always doing what was best for the client. Having practiced accounting for many years with small businesses and individuals, Jim understands how business and life intersect, and he uses that experience to help give people confidence and financial independence. The oldest of nine children, Jim and his wife have kept the large family going into the next generation. They enjoy spending time with their four married children and fourteen happy grandchildren.

Question & Answer

Are you a "fiduciary"?

Aliases

James V 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.

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

March 30, 2022 - January 4, 2024

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Radnor, PA

Past

November 23, 2015 - July 25, 2016

WEST SHORE GROUP, LLC

RIA

CRD#: 167778

Philadelphia, PA

Past

August 8, 2012 - April 1, 2022

ANDREW GARRETT INC.

CRD#: 29931

Southhampton, PA

Past

January 11, 2012 - July 12, 2022

CORDASCO FINANCIAL NETWORK, INC.

RIA

CRD#: 159544

SOUTHAMPTON, PA

Past

August 23, 2006 - January 5, 2012

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

PHILADELPHIA, PA

Past

August 2, 2006 - January 5, 2012

RBC CAPITAL MARKETS, LLC

CRD#: 31194

PHILADELPHIA, PA

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".

MERCER GLOBAL ADVISORS INC.

MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA

Registered Investment Advisory firm - (5/30/2008 Approved)

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: 8/22/2006

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: 7/31/2006

General Securities Representative Examination

Current Firm

MERCER GLOBAL ADVISORS INC.

MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA

Registered Investment Advisory firm - (5/30/2008 Approved)

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Contact information

Main Address

1200 17th Street Suite 2000, Denver, CO 80202

Mailing Address

Phone number

(888) 885-8101

Established

Firm type

Fiscal year end

# of Employees

1,166

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MERCER GLOBAL ADVISORS INC. ADV PART 2A AUGUST 21 2025 (8/21/2025)

Regulatory assets under management

Total Number of Accounts	99,044
AUM (Assets Under Management)	$ 60,256,270,580

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/29/2025	Cover Page	Report
07/31/2024	Cover Page	Report
09/28/2023	Cover Page	Report
12/07/2022	Cover Page	Report

Red Flags

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

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

JAMES V. TATE

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEST SHORE GROUP, LLC

ANDREW GARRETT INC.

CORDASCO FINANCIAL NETWORK, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

Primary Firm SEC Registration

MERCER GLOBAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2006

SIE

Date: 10/1/2018

Series 7

Date: 7/31/2006

Current Firm

MERCER GLOBAL ADVISORS INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MERCER GLOBAL ADVISORS INC.

TRUST BUT VERIFY

Contact information

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