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Scott Matthew Kates

Bofa Securities, Inc.

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About Scott Matthew Kates

Scott Kates is a financial professional with over 18 years of experience in the industry. Scott is currently registered with Bofa Securities, Inc. and is located in Iselin, NJ. Scott has previously held positions at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, LLOYDS SECURITIES, and CITIGROUP GLOBAL MARKETS INC. Scott holds Series 7, 79, and 63 licenses.

Firm Information

Scott Kates is currently registered with Bofa Securities, Inc.. Bofa Securities, Inc. is a corporation formed in September 2015 and headquartered in New York, NY. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Bofa Securities provides research-related services and publishes periodicals. The firm has 314 registered representatives.
Bofa Securities, Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

Not reported

Assets Under Management

Not reported

Total Clients

1,401

Total Financial Advisors

Services Offered

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.

check

research-related services

Research-related services

Fee Structure

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.

check

other

Negotiated fees for research-related services

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Scott Kates’s Registration & Firm History

NJ

05/10/2019 - Present

Bofa Securities, Inc. (ISELIN NJ)

NJ

05/26/2015 - 05/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ISELIN NJ)

NY

11/16/2012 - 04/01/2015

LLOYDS SECURITIES (NEW YORK NY)

NY

11/02/2001 - 12/23/2009

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/25/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/14/2012

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 11/01/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Scott Matthew Kates.
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