# SEAN M CATES

SEAN M CATES is an investment adviser representative (IAR) with state registration records since 2001, appearing at 3 firms. Currently registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.

## Registration history (3)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED](https://search.stillhousedata.com/firm/7691) | 2011-08-26 | present | Yes |
| [BANC OF AMERICA INVESTMENT SERVICES, INC.](https://search.stillhousedata.com/firm/16361) | 2007-07-30 | 2009-01-20 | — |
| [GOLDMAN SACHS & CO. LLC](https://search.stillhousedata.com/firm/361) | 2001-08-17 | 2003-12-04 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/3167563)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/3167563.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.