Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Howard Tate is an active financial advisor registered with Oppenheimer & Co. Inc. in Boston, Massachusetts, with additional registration in Texas. Thomas has been in the financial industry since March 12, 1983, and has been with Oppenheimer & Co. Inc. since November 2005. Previously, Thomas was with ADVEST, INC., SMITH BARNEY INC., LEHMAN BROTHERS INC., PRUDENTIAL SECURITIES INCORPORATED, and PRUDENTIAL-BACHE SECURITIES (PAN AMERICA) INC. Thomas holds Series 7, Series 63, and Series 65 licenses. Thomas is also a committee member for Rosie's Place, a non-profit women's shelter in Boston.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
MA
02/06/2025 - Present
Oppenheimer & Co. Inc. (BOSTON MA)
CT
06/03/1996 - 12/19/2005
ADVEST, INC. (HARTFORD CT)
NY
07/31/1993 - 05/21/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
04/27/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
03/01/1983 - 04/29/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
01/17/1985 - 03/18/1986
PRUDENTIAL-BACHE SECURITIES (PAN AMERICA) INC.
IA
Issued 12/01/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/03/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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