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Detailed Report
ANDREW WIMBERLY TATE
CRD#: 4251108
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 5605 Carnegie Blvd., Suite 220
Charlotte, NC 28209
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2014 - 2024 (9 years)2 FIRMS2024 - Present (1 year)BSTERLING CAPITAL DISTRIBUTORS, LLC (CRD# 103934)2007 - 2014 (7 years)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)2000 - 2007 (6 years)
License(s)

State Registrations

B
Alabama 1/19/2024
B
New York 1/9/2024
B
Arizona 1/9/2024
B
North Carolina 1/9/2024
B
California 1/9/2024
IA
North Carolina 1/9/2024
B
Colorado 1/9/2024
B
Ohio 1/9/2024
B
Connecticut 1/9/2024
B
Pennsylvania 1/9/2024
B
District of Columbia 1/9/2024
B
South Carolina 1/9/2024
B
Florida 1/9/2024
B
Tennessee 1/9/2024
B
Georgia 1/9/2024
B
Texas 1/9/2024
B
Illinois 1/9/2024
IA
Texas 1/9/2024
B
Kentucky 7/17/2024
B
Virginia 1/9/2024
B
Maryland 1/9/2024
B
Washington 1/9/2024
B
Michigan 1/9/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ROCKEFELLER CAPITAL MANAGEMENT (CRD#:291361)
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209
Registered with this firm since 1/9/2024
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209
Registered with this firm since 1/9/2024
Previous Registration(s)
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IA
 10/23/2014 - 01/19/2024 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHARLOTTE, NC
B
 10/01/2014 - 01/19/2024 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHARLOTTE, NC
B
 09/11/2007 - 10/01/2014 STERLING CAPITAL DISTRIBUTORS, LLC (CRD#:103934) CHARLOTTE, NC
B
 09/28/2000 - 08/23/2007 BANC OF AMERICA SECURITIES LLC (CRD#:26091) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.