John Cate
John Cate is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Indianapolis, IN, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
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Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
510 E 96th St, Indianapolis, IN, 46240
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Regulatory History (5)
Customer Dispute
April 2004Customer Dispute
January 2002Customer Dispute
December 2001Customer Dispute
May 2001Customer Dispute
February 2001Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations38 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.