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Information

Other Names: Jack Tate, John S Tate, John Sylvester Toedt
Firm:
Type: Dual Registration
Description

John Tate is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a $486B RIA based in New York, NY. John has held an industry securities registration for 27 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

John Sylvester Tate has not answered any questions on Financial Q&A.

Top Guides

John Sylvester Tate has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 18 years, 3 months Jan 1996 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/19/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

7 Customer Disputes

7 Customer Disputes

As of Date
12/19/2012
02/06/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 05/07/1996
Uniform Investment Adviser Law Examination Series 65 03/14/1996
Registered Options Principal Examination Series 4 09/13/1977
Registered Principal Examination Series 40 03/11/1968
Registered Representative Examination Series 1 07/09/1959

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions