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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Keith Tate is a financial advisor with Stifel Independent Advisors, LLC. James has been in the financial services industry since 1988. James has a broad range of experience in the industry and is committed to providing clients with personalized financial advice and wealth management solutions. James is a Certified Financial Planner™ and holds a Series 7, Series 9, Series 10, Series 63 and Series 66 licenses. Prior to joining Stifel Independent Advisors, LLC, James was a financial advisor with WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC, MORGAN STANLEY and CITIGROUP GLOBAL MARKETS 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
06/01/2022 - Present
Stifel Independent Advisors, LLC (VENICE FL)
FL
07/10/2015 - 06/02/2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (VENICE FL)
FL
06/01/2009 - 07/31/2015
MORGAN STANLEY (VENICE FL)
FL
10/05/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (VENICE FL)
FL
11/29/1988 - 10/09/2006
A. G. EDWARDS & SONS, INC. (VENICE FL)
NA
07/19/1988 - 11/03/1988
F.N. WOLF & CO., INC.
BOTH
Issued 09/10/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/09/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/15/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/11/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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