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Lawrence Edward Palme

"tate Asset Management" AND "dco Wealth Management"

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About Lawrence Edward Palme

Lawrence Edward Palme is an Investment Advisor Representative with "tate Asset Management" and "dco Wealth Management". Lawrence has over 20 years of experience in the financial services industry. Lawrence has a Series 65, Series 63, Series 31, and Series 7 license. He is also registered with the state of California.

Firm Information

Lawrence Palme is currently registered with "tate Asset Management" AND "dco Wealth Management". Tate Asset Management is an investment advisory firm located in Rancho Santa Fe, CA, and provides financial planning and portfolio management services to individuals, high-net-worth individuals, and pension and profit-sharing plans. They also provide selection of other advisors services. The firm has 2 licensed agents, 5 investment advisor representatives, and manages over $274 million in assets.
"tate Asset Management" AND "dco Wealth Management"

5531 CANCHA DE GOLF

RANCHO SANTA FE, CA 92091

$274.13M

Assets Under Management

Not reported

Total Clients

5

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Lawrence Palme’s Registration & Firm History

CA

01/17/2017 - Present

"tate Asset Management" AND "dco Wealth Management" (RANCHO SANTA FE CA)

CA

06/01/2009 - 01/27/2017

MORGAN STANLEY (SAN DIEGO CA)

CA

10/10/2008 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (SAN DIEGO CA)

CA

07/21/2003 - 10/31/2008

UBS FINANCIAL SERVICES INC. (SAN DIEGO CA)

MO

07/01/2003 - 07/24/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

07/13/1998 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

SC

02/19/1998 - 07/14/1998

FORTRESS FINANCIAL GROUP, LTD. (ISLE OF PALMS SC)

TX

12/15/1997 - 02/09/1998

LLOYD WADE SECURITIES INC. (DALLAS TX)

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Licenses & Designations

IA

Issued 10/01/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/15/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/27/2017

SIE - Securities Industry Essentials Examination

BC

Issued 06/03/2002

Series 31 - Futures Managed Funds Examination

BC

Issued 12/10/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Lawrence Edward Palme.
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