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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Thomas Bates is a financial advisor with over 30 years of experience in the industry. John is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with them since 2015. Prior to that, John worked with Barclays Capital Inc., Credit Suisse First Boston LLC, and CitiCorp Securities, Inc. John has a wide range of experience in the financial services industry and is a licensed advisor in many states. John offers a range of services to individuals, businesses and institutions including portfolio management, financial planning, and investment advice.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
07/24/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
06/01/2004 - 08/08/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
03/27/1997 - 05/26/2004
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NY
05/28/1985 - 03/25/1997
CITICORP SECURITIES, INC. (NEW YORK NY)
BOTH
Issued 03/18/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/06/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/04/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 02/25/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/1987
Series 3 - National Commodity Futures Examination
BC
Issued 05/18/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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