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Martin Wayne Pate

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sugar Land, TX

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2016-08-04
TX RA APPROVED 1996-11-20
  • AR RA
    APPROVED
    Since 2016-08-04
  • TX RA
    APPROVED
    Since 1996-11-20

Branch Locations

13135 Dairy Ashford Rd, Sugar Land, TX 77478 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America, N.A. Sugar Land TX 05/2011 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stafford TX 09/1996 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-03
S63 Uniform Securities Agent State Law Examination 1996-11-19
  • S65 Uniform Investment Adviser Law Examination
    1996-12-03
  • S63 Uniform Securities Agent State Law Examination
    1996-11-19
Other Names
  • Martin W Pate

View on SEC IAPD

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