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SEAN M CATES
SEAN MICHAEL CATES
CRD#: 3167563
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2100 ROSS AVE
DALLAS, TX 75201
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 1999 (<1 year)2 FIRMS2007 - 2009 (1 year)2 FIRMS2011 - Present (13 years)BGOLDMAN, SACHS & CO. (CRD# 361)2000 - 2007 (6 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1999 - 2000 (<1 year)IAGOLDMAN, SACHS & CO. (CRD# 361)2001 - 2003 (2 years)
Disclosure(s)
View By:
8/27/2019
Judgment / Lien
11/21/2013
Judgment / Lien
License(s)

State Registrations

B
Alaska 4/5/2021

B
New Hampshire 4/10/2015

B
Arkansas 6/25/2013

B
New Jersey 6/25/2013

B
California 2/14/2012

B
New Mexico 4/22/2015

B
Colorado 6/25/2013

B
New York 9/24/2012

B
Connecticut 1/24/2023

B
North Carolina 6/26/2013

B
Delaware 4/2/2019

B
Ohio 6/26/2013

B
District of Columbia 6/25/2013

B
Oklahoma 3/29/2012

B
Florida 1/4/2012

B
Pennsylvania 4/3/2014

B
Georgia 6/25/2013

B
Puerto Rico 6/25/2013

B
Illinois 6/19/2013

B
South Dakota 1/11/2024

B
Kansas 6/25/2013

B
Tennessee 10/1/2012

B
Louisiana 4/1/2013

B
Texas 8/26/2011

B
Maine 4/7/2016

IA
Texas 8/26/2011

B
Massachusetts 9/24/2012

B
Utah 6/25/2013

B
Michigan 6/25/2013

B
Virginia 6/25/2013

B
Minnesota 6/25/2013

B
Washington 8/22/2012

B
Mississippi 3/4/2013

B
West Virginia 6/11/2014

B
Missouri 4/4/2014

B
Wisconsin 11/26/2012

B
Nevada 2/21/2013

B
Wyoming 1/21/2015

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2100 ROSS AVE, DALLAS, TX 75201
Registered with this firm since 8/26/2011

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2100 ROSS AVE, DALLAS, TX 75201
Registered with this firm since 8/2/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/30/2007 - 01/20/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DALLAS, TX
B
07/26/2007 - 01/20/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DALLAS, TX
B
05/09/2000 - 01/22/2007 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
IA
08/17/2001 - 12/04/2003 GOLDMAN, SACHS & CO. (CRD#:361) DALLAS, TX
B
11/16/1999 - 04/18/2000 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
12/24/1998 - 09/10/1999 EQ FINANCIAL CONSULTANTS, INC. (CRD#:6627) NEW YORK, NY
B
12/24/1998 - 09/10/1999 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.