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Jonathan Charles Cates

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mount Pleasant, SC

Pennington, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2021-07-12
TX RA APPROVED 2017-10-12
NJ RA APPROVED 2017-09-25
  • SC RA
    APPROVED
    Since 2021-07-12
  • TX RA
    APPROVED
    Since 2017-10-12
  • NJ RA
    APPROVED
    Since 2017-09-25

Branch Locations

75 Port City Lndg, Mount Pleasant, SC 29464 • United States

1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • 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
OrganizationCityStateFromTo
Delaware Investments Philadelphia PA 01/2013 08/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington NJ 09/2017 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-05
  • S66 Uniform Combined State Law Examination
    2008-05-05
Other Names
  • Jonathan Charles Cates
  • Jonathan Cates
  • Jon Cates

View on SEC IAPD

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