Justin T. Tate
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.
Justin Tyler Tate Sr, who also goes by Justin Tyler Tate, Justin Tyler Tate Sr, was a registered financial professional .
Justin is a previously registered financial professional and started their career in finance in 2007. Justin had worked at 7 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2022 - December 13, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 13, 2022 - December 13, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 28, 2021 - October 20, 2021
CLEAR HARBOR WEALTH MANAGEMENT
September 11, 2020 - December 18, 2020
WEALTHTRUST ASSET MANAGEMENT, LLC
December 23, 2019 - April 20, 2020
SALTMARSH FINANCIAL ADVISORS, LLC
November 4, 2010 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
November 2, 2010 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
February 5, 2008 - December 19, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - December 19, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 19, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
June 14, 2007 - September 25, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/11/2022
General Securities Representative ExaminationCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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