Sean Cates
Sean Cates is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Dallas, TX, with 23 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
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
2100 Ross Ave, Dallas, TX, 75201
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Regulatory History (2)
Judgment / Lien
August 2019Judgment / Lien
November 2013Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Goldman, Sachs & CO.
Goldman, Sachs & CO.Broker
Banc One Securities CorporationBroker
Eq Financial Consultants, INC.Broker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations37 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.