Nicklaus J Catone
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
12 yearsExperience
1 stateRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- Bank of America, N.A.Jul 2026 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 2026 to now
- Mcquaid Jesuit High SchoolMar 2025 to now
- Catone Insurance AgencyMar 2026 to May 2026
- Manning & Napier Advisors, LLCJun 2024 to Mar 2026
- Manning & Napier Investor Services, Inc.Jun 2024 to Mar 2026
- KeybankDec 2022 to Jun 2024
- Lawley InsuranceJun 2022 to Nov 2022
- St. John Fisher University - Full-time EducationJan 2021 to May 2022
- AflacMay 2020 to May 2021
- Xavier University - Full-time EducationAug 2019 to Dec 2020
- St. John Fisher University - Full-time EducationJan 2018 to May 2019
- Seton Hill University - Full-time EducationAug 2017 to Dec 2017
- Unemployed - Mcquaid Jesuit High SchoolJul 2014 to Jul 2017
Exams passed
- Series 66 · Uniform Combined State Law2026
State registrations
Registered as an investment adviser representative in 1 state (NY).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7950775
- Firm CRD
- 7691