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John Sylvester Tate
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Overview
Description
John Tate is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 36,200 registered representatives nationwide. John has held an industry securities registration for 20 years and is subject to SEC and FINRA oversight....Information
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other namesN/A
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Other FirmsN/A
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doing business asN/A
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typeSEC and FINRA Registered
Location
520 NEWPORT CTR DR
Newport Beach,
CA
92660
N/A
Services
Advisor Services
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Funds
Funds Used With Clients
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Firm Client types
Qualifications
Experience
No timeline events available.
| Employer | Years | Dates |
|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporatednewport Beach, Ca | 22 years, 3 months | Jan 1996 - Present |
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Articles and Answers
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Licenses & Conducts
U.S. Securities and Exchange Commission
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license statusRegistered
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disclosures7
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as of dateDec 17, 2014
FINRA
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license statusRegistered
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disclosures7
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as of dateAug 22, 2016
Review the status and details of the disclosures noted above using the SEC's Investment Advisor Public Disclosure website:
Assets
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Last updated on Sept. 28, 2017
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$639.6BTotal Assets Under Management
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N/ATotal Assets Under Advisement
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2MAccounts
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$349.2KEstimated Average Account Balance
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Fees
Types of Compensation Arrangements
- Percentage Of Assets
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