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John Sylvester Tate

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Information

Other Names: Jack Tate, John S Tate, John Sylvester Toedt
Firm:
Type: SEC and FINRA Registered
Description

John Tate is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 32,000 registered representatives nationwide. John has held an industry securities registration for 29 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 19 years, 8 months Jan 1996 - Present
Exams
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 05/07/1996
Uniform Investment Adviser Law ExaminationSeries 65 03/14/1996
Registered Options Principal ExaminationSeries 4 09/13/1977
Registered Principal ExaminationSeries 40 03/11/1968
Registered Representative ExaminationSeries 1 07/09/1959

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

John Sylvester Tate has not contributed any Financial Articles.
*Answers and articles 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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

7 Customer Disputes

7 Customer Disputes

As of Date
04/05/2015
09/25/2014
*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.

Firm Compensation Arrangements

Types of Compensation Arrangements

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