John Thomas Bates

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2015 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 10/2015 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2011-03-21 → 2015-08-08
  Barclays Capital Inc.
  New York, NY
  New York, NY
  New York, NY
  New York, NY
  New York, NY
  New York, NY

Other Businesses

I*8132 For profit or not for profit: Name of outside business organization: John Bates Home Investment related: Address of business: Bridgehampton, New York 11932 Nature of business: , Position, title, association: , Start date of relationship: 7/1/2019 Number of hours devoted: 3 hour(s) Number of hours devoted during trading hours: 1 Duties:

Exams

• S66 Uniform Combined State Law Examination
  2011-03-18
• S63 Uniform Securities Agent State Law Examination
  1985-08-06