Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Turner Tate is an investment advisor representative with Wells Fargo Clearing Services, LLC. He is a seasoned professional with over 35 years of experience in the financial services industry. Thomas has held various roles in the past, including positions at Wells Fargo Investments, LLC, Banc of America Investment Services, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. He is registered to provide investment advice in multiple states. Thomas holds Series 7, 63, and 65 licenses. His firm specializes in providing financial planning, portfolio management, and investment consulting services to individuals, businesses, and institutions.
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.
Investment consulting services to institutional clients
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
CA
10/28/2016 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
06/01/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN DIEGO CA)
CA
07/12/1999 - 06/01/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (ESCONDIDO CA)
CA
06/06/1992 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
VA
09/14/1989 - 06/06/1992
GNA SECURITIES, INC. (GLEN ALLEN VA)
CA
06/27/1986 - 09/12/1989
GLENFED BROKERAGE SERVICES (GLENDALE CA)
NA
05/02/1984 - 04/17/1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 09/08/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/05/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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