John Thomas Bates

CRD 1370402 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 66Series 63Series 10Series 9Series 8Series 24SIESeries 3Series 7
Registered states (15): Arizona · California · Colorado · Connecticut · Florida · Hawaii · Indiana · Maryland · New Jersey · New York · North Carolina · Pennsylvania · South Carolina · Texas · West Virginia
Years in the industry (source record): 41
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

Jul 24, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Barclays Capital Inc.
IA capacity

Mar 21, 2011 → Aug 8, 2015
Barclays Capital Inc.
BD capacity

Jun 1, 2004 → Aug 8, 2015
Credit Suisse First Boston LLC
BD capacity

Mar 27, 1997 → May 26, 2004
Citicorp Securities, Inc.
BD capacity

May 28, 1985 → Mar 25, 1997

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1370402 ↗ FINRA BrokerCheck record for CRD 1370402 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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