James Tate (CRD# 2490422) is an Investment Advisor Representative working at Tate Wealth Management, LLC in Winston Salem, NC and has over 29 years of experience in the finance industry. James Tate has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 1821508
Ubs Financial Services Inc.
CRD# 6266643
Primerica Advisors
CRD# 6582147
Edward Jones
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Tate Wealth Management, LLC | Winston-salem, NC | Jan 2021 - Current | 3 |
| Tate Wealth Management, LLC | Winston-salem, NC | Jan 2021 - Current | 3 |
| Tate Wealth Management, Inc. | Moneta, VA | Mar 2007 - Jan 2021 | 13 |
| Tate Wealth Management, Inc. | Moneta, VA | Oct 2005 - Jan 2021 | 15 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | May 1994 |
| S65 | NASAA Investment Advisors Law Examination | Jun 1994 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- NC
- VA
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Total Assets Under Management7MILLIONS
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Total Number of Accounts18ACCOUNTS
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Average Account Value$362,599
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
NC, VA
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