Laura J Tate

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2011-06-14

FL RA
APPROVED

Since 2011-06-14

Branch Locations

9000 Southside Blvd Bldg 600, Jacksonville, FL 32256 • United States

One Bryant Park, New York, NY 10036 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch	Jacksonville	FL	02/2011	Present

02/2011 → Present

Merrill Lynch

Jacksonville, FL

Other Businesses

I*1932308 Entity Type: Entity For Profit Name of OBA: RUFF HOUSE RETREAT, LLC Address:Jacksonville Florida Investment Related:No Position, Title, Association:Owner Start Date:01/01/2025 No Hours: 20 Weekly No Hours during trading:0 Duties:Board/watch dogs for short periods of time

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-06-10
S63	Uniform Securities Agent State Law Examination	2007-03-30

S66 Uniform Combined State Law Examination

2011-06-10
S63 Uniform Securities Agent State Law Examination

2007-03-30

Other Names

Laura J Tate-Thagard
Laura J Tate-Thagard
Laura Jean Tate

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

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