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John Christopher Gatto

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Melville, NY

Boca Raton, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-05-23
NY RA APPROVED 2021-10-06
TX RA APPROVED_RES 2016-03-31
  • FL RA
    APPROVED
    Since 2025-05-23
  • NY RA
    APPROVED
    Since 2021-10-06
  • TX RA
    APPROVED_RES
    Since 2016-03-31

Branch Locations

300 Broadhollow Rd, Melville, NY 11747 • United States

1 Town Center Rd, Boca Raton, FL 33486 • United States

Disclosures

2 disclosure categories 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 Yes
  • 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 Jericho NY 03/2016 Present
Bank Of America, N.A. Jericho NY 04/2016 Present
Previous Registrations
  • 2009-06-01 → 2016-04-11
    Morgan Stanley
    Jericho, NY
  • 2008-04-11 → 2009-06-01
    Morgan Stanley & Co. Llc
    Jericho, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-09-24
S65 Uniform Investment Adviser Law Examination 2003-04-14
S63 Uniform Securities Agent State Law Examination 1985-11-06
  • S66 Uniform Combined State Law Examination
    2021-09-24
  • S65 Uniform Investment Adviser Law Examination
    2003-04-14
  • S63 Uniform Securities Agent State Law Examination
    1985-11-06

View on SEC IAPD

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