James K. Tate
STIFEL INDEPENDENT ADVISORS
Venice, FL 34292
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CRD#: 6529153
Professional summary
James Keith Tate JR, CFP®, who also goes by James Tate, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Venice, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. James has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James 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.
1. Sertoma Club of Venice, Venice FL 34284; 501(c)(3); Sargent of Arms/Board Member; Check in and MC for Daily Lunch, attend monthly board meetings; 7/6/18; 5hr/mo; Not During Securities Trading Hours; Not Investment Related. 2. Jake Tate GWP, LLC; 2351 E Venice Ave, Venice, FL 34292; Independent Advisor entity; Owner/Manager; 01/03/2022; 8 Hours per Day; During securites trading hours; Investment-Related. 3. Family Promise of South Sarasota County; 850 Cockrill St, Venice, FL 34285; The org provides housing support to children and their families in South Sarasota County; Board Member; Helping raise awareness and supporting the organization; 10/18/2022; 4 Hours per Month; Not during securities trading hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view James Keith Tate JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Keith Tate JR's 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®
CFP®
Start date: 2019
Experience
Current
June 1, 2022 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 2351 E. Venice Avenue, Venice, FL 34292RIA
BD
CRD#: 28218
Venice, FL
Current
June 1, 2022 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 2351 E. Venice Avenue, Venice, FL 34292RIA
BD
CRD#: 28218
Venice, FL
Past
December 8, 2016 - June 2, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
VENICE, FL
Past
September 7, 2016 - June 2, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
VENICE, FL
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/9/2022)
RR
Alaska(5/13/2024)
RR
Arizona(6/22/2022)
RR
California(1/5/2024)
RR
Colorado(3/10/2023)
RR
Connecticut(1/5/2024)
RR
Florida(6/1/2022)
IAR
Florida(6/2/2022)
RR
Georgia(6/1/2022)
RR
Idaho(6/9/2022)
RR
Illinois(6/3/2025)
RR
Indiana(6/1/2022)
RR
Iowa(7/19/2024)
RR
Kansas(6/1/2022)
RR
Kentucky(6/1/2022)
RR
Massachusetts(6/1/2022)
RR
Michigan(6/1/2022)
RR
Minnesota(6/1/2022)
RR
Mississippi(6/1/2022)
RR
Missouri(6/1/2022)
RR
Nebraska(3/11/2025)
RR
Nevada(6/1/2022)
RR
New Hampshire(6/6/2022)
RR
New Jersey(1/5/2024)
RR
New York(6/1/2022)
RR
North Carolina(6/1/2022)
RR
Ohio(6/1/2022)
RR
Oregon(6/1/2022)
RR
Pennsylvania(1/23/2023)
RR
Rhode Island(1/5/2024)
RR
South Carolina(6/1/2022)
RR
Tennessee(6/1/2022)
RR
Texas(6/1/2022)
IAR
Texas(6/1/2022)
RR
Virginia(6/1/2022)
RR
Washington(3/14/2025)
RR
West Virginia(1/23/2023)
RR
Wisconsin(6/1/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
