TrueAdvisor
TrueAdvisor
TT
TT

Thomas Tate

Oppenheimer & CO. INC.
43 Years of Experience
Boston, MA
5 DisclosuresBroker
View SEC Summary
View SEC Summary

Thomas Tate is a registered investment advisor at Oppenheimer & CO. INC., based in Boston, MA, with 43 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

255 State Street, 5th Floor, Boston, MA, 02109

Get directions

History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
December 2004
Final
Customer Dispute
May 2003
Denied
Customer Dispute
November 1999
Settled
Customer Dispute
July 1992
Settled
Customer Dispute
January 1990
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Thomas is a committee member at Rosie's Place, a non-profit women's shelter, monitoring investment managers. This activity requires minimal time.

Employment History
Current Registrations
Oppenheimer & CO. INC.
January 2017 - Present · 9 yrs 9 mos
Oppenheimer & CO. INC.
December 2005 - Present · 20 yrs 10 mos
Oppenheimer & CO. INC.Broker
December 2005 - Present · 20 yrs 10 mos
Previous Registrations
Advest, INC.Broker
June 1996 - December 2005 · 9 yrs 6 mos
Smith Barney INC.Broker
July 1993 - May 1996 · 2 yrs 10 mos
Lehman Brothers INC.Broker
April 1992 - July 1993 · 1 yr 3 mos
Prudential-Bache Securities (pan America) INC.Broker
January 1985 - March 1986 · 1 yr 2 mos
Prudential Securities IncorporatedBroker
March 1983 - April 1992 · 9 yrs 1 mo
State Registrations26 states
AZCACOCTDCDEFLGAMAMDMEMNMONCNHNJNVNYOHORPARISCTXVAVT
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Boston, MA →All financial advisors in Massachusetts →