Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Tate is a financial advisor with Regions Securities LLC. Brian has been in the financial industry for 27 years. Brian has a Series 7, Series 24, Series 63, Series 79TO and SIE. Brian is registered with 51 states. Brian was previously employed with WELLS FARGO SECURITIES, LLC, WACHOVIA SECURITIES, LLC, FIRST UNION CAPITAL MARKETS CORP., FIRST UNION CAPITAL MARKETS CORP. and CHASE SECURITIES INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NC
07/18/2014 - Present
Regions Securities LLC (Charlotte NC)
NC
07/01/2003 - 07/01/2014
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
MO
10/01/1999 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
02/02/1998 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NC
08/28/1996 - 02/02/1998
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
06/10/1996 - 10/02/1996
CHASE SECURITIES INC. (NEW YORK NY)
BC
Issued 12/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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