James Berton Cates

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mount Pleasant, SC

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2026-05-04

SC RA
APPROVED

Since 2026-05-04

Branch Locations

75 Port City Lndg, Mount Pleasant, SC 29464 • 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, Pierce, Fenner & Smith Incorporated	Mount Pleasant	SC	10/2025	Present
Tourists Welcome	North Adams	MA	08/2024	10/2025
Williams College Sports Information	Williamstown	MA	09/2021	05/2024
Edward Jones	Orange	CA	06/2024	08/2024
Islide Usa	Boston	MA	06/2023	08/2023
Unemployed	Anaheim	CA	01/2015	09/2021

10/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mount Pleasant, SC
08/2024 → 10/2025

Tourists Welcome

North Adams, MA
09/2021 → 05/2024

Williams College Sports Information

Williamstown, MA
06/2024 → 08/2024

Edward Jones

Orange, CA
06/2023 → 08/2023

Islide Usa

Boston, MA
01/2015 → 09/2021

Unemployed

Anaheim, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2026-04-17
S65	Uniform Investment Adviser Law Examination	2025-02-22

S63 Uniform Securities Agent State Law Examination

2026-04-17
S65 Uniform Investment Adviser Law Examination

2025-02-22

Other Names

Jamie Cates
James Cates
James B Cates

View on SEC IAPD

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