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John Clinton Cate

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Indianapolis, IN

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2020-12-01
TX RA APPROVED_RES 2011-06-10
IN RA APPROVED 2011-06-08
  • CO RA
    APPROVED
    Since 2020-12-01
  • TX RA
    APPROVED_RES
    Since 2011-06-10
  • IN RA
    APPROVED
    Since 2011-06-08

Branch Locations

510 E 96Th St, Indianapolis, IN 46240 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Indianapolis IN 06/2011 Present
Bank Of America, N.A. Indianapolis IN 07/2011 Present
Previous Registrations
  • 2009-06-01 → 2011-06-07
    Morgan Stanley
    Indianapolis, IN
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Indianapolis, IN
  • 2001-04-04 → 2007-04-02
    Morgan Stanley Dw Inc.
    Indianapolis, IN
    Indianapolis, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-07-17
  • S66 Uniform Combined State Law Examination
    1998-07-17
Other Names
  • John C Cate
  • John Clinton Cate

View on SEC IAPD

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