James Tate is a CFP-designated registered investment advisor, based in Venice, FL, with 10 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
2351 E. Venice Avenue, Venice, FL, 34292
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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.
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James is involved with the Sertoma Club of Venice and Family Promise of South Sarasota County, dedicating minimal time to each. He also owns and manages Jake Tate GWP, LLC, an independent advisor entity, dedicating full-time hours to this.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Previous Registrations
Stifel Independent Advisors, LLC
Stifel Independent Advisors, LLCBroker
Wells Fargo Advisors Financial Network, LLC
Wells Fargo Advisors Financial Network, LLCBroker
State Registrations38 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.
Exams
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