James Tate
James Tate is a registered investment advisor at Geneos Wealth Management, INC., based in Roanoke, VA, with 32 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning. Their firm serves 14,112 clients with $5.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Geneos offers investment management services where representatives continuously monitor your account and make trades when necessary. This is offered under the VIP program, where you pay transaction charges separately, and the VIP Ultra and Axiom wrap fee programs, where advisory and transaction services are bundled into one fee. The annual fee ranges from 0.00% to 2.50% of your portfolio, with a minimum fee of 0.50%. Fees and fee structures vary by representative. Advisory accounts direct with American Funds utilizing their F2 share class will have either a tiered fee of 0.50%, 0.60%, 0.80%, or 1.00% dependent upon account balance and is not negotiable or a fixed fee of 0.75% which is not negotiable.
Location
2709 Brambleton Avenue, Roanoke, VA, 24015
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James operates under IFA Wealth, is an independent representative with various insurance carriers for fixed products, and owns Dunn's Station LLC, a residential rental property. He also holds leadership positions in 95th Rifles 1st Battalion Club and Brigade Napoleon, and is involved in management consulting with Cogent MGMT Resources LLC.
Employment History
Current Registrations
Geneos Wealth Management, INC.Broker
Geneos Wealth Management, INC.
Previous Registrations
United Securities Alliance, INC.Broker
United Securities Alliance, INC.
Cambridge Investment Reserarch, INC.
Cambridge Investment Research, INC.Broker
Multi-Financial Securities Corporation
Multi-Financial Securities CorporationBroker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations10 states
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.