1. Wealthminder
  2. Venice, FL
James Tate, financial advisor Venice FL
93 score

James Tate

CRD Number: 1849522
Current Firm: Morgan Stanley

James Tate (CRD# 1849522) is an Investment Advisor Representative working at Morgan Stanley in Venice, FL and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors Financial Network, LLC Venice, FL Jul 2015 - Current 1
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Jul 2015 < 1
Morgan Stanley Smith Barney Venice, FL Jun 2009 - Jul 2015 6
Citigroup Global Markets Inc. Venice, FL Oct 2006 - Jun 2009 2
A. G. Edwards & Sons, Inc. Venice, FL Nov 1988 - Oct 2006 17
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2015
S63 Uniform Securities State Law Examination Aug 1988
Contact Info for James K. Tate
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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