Thomas R. Pate
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.
Thomas Rankin Pate, who also goes by Tommy Pate, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 14 firms and has passed the Series 63, Series 7TO, SIE, Series 31 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2020 - November 30, 2023
SECURITIES AMERICA, INC.
February 3, 2016 - July 17, 2020
INVESTACORP, INC.
October 12, 2005 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
March 13, 2001 - April 18, 2005
MORGAN STANLEY DW INC.
March 6, 2001 - April 18, 2005
MORGAN STANLEY DW INC.
August 21, 1987 - July 30, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 1985 - June 12, 1987
E. F. HUTTON & COMPANY INC
September 19, 1984 - January 18, 1986
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 27, 1983 - September 27, 1984
MONARCH SECURITIES, INC.
April 15, 1983 - April 8, 1985
OLD SLIP CAPITAL MANAGEMENT, INC.
February 18, 1983 - April 11, 1983
CAPITAL PLACEMENTS
February 2, 1977 - June 6, 1980
CNA MANAGEMENT CORPORATION
January 14, 1977 - August 17, 1987
PROVIDENT MARKETING CORPORATION
February 5, 1976 - February 5, 1977
HI SECURITIES, INC.
February 27, 1973 - January 14, 1977
PROVIDENT NATIONAL EQUITIES, INC.
December 3, 1969 - August 10, 1975
HI SECURITIES, INC.
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: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 11/24/1969
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
