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John Sylvester Tate

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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 broker-dealer with over 31,800 registered representatives nationwide. John has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 18 years, 11 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

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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

7 Customer Disputes

7 Customer Disputes

As of Date
09/08/2014
08/19/2014
*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

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Types of Compensation Arrangements

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