Cleo
Coates

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#1864062
Investment Advisor
in Indian Wells, CA

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About this Advisor

Cleo Coates is a financial advisor based in Indian Wells, California, working with Merrill Lynch, Pierce, Fenner & Smith Inc. Cleo has previously held positions at New York Life Insurance Company, Nylife Securities LLC, Eagle Strategies LLC, Merrill Lynch, Pierce, Fenner & Smith Inc, and Bank Of America, N.A. Cleo has passed the Series 63 and Series 66 regulatory exams and is registered to provide services in California, Connecticut, New York, and Texas. Currently, Cleo is part of Merrill Lynch, Pierce, Fenner & Smith Inc, which operates out of Indian Wells, California. The firm has 3,542 offices and 34,934 employees. The firm manages assets totaling $1.3 trillion and serves a variety of clients, including charitable organizations and high-net-worth individuals. The services offered by the firm include portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars, and other services. The fee structure at Merrill Lynch, Pierce, Fenner & Smith Inc includes asset-based, fixed, and commission-based fees.

Certifications and Registrations

Series 63, Series 66

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Fixed Fees, Commissions

Office Location

74800 Us Highway 111
Indian Wells, CA 92210

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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management

$1,271,593,679,276

CA Average: $7,464,549,021
Total Number of Employees

34,934

CA Average: 88
Total Number of Accounts

2,911,578

CA Average: 3,892
Average Account Size

$436,737

CA Average: $1,917,921

Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

Cleo Coates Work History

2019 - Present (5 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2019 - Present (5 years)

Bank Of America, N.A

2015 - 2019 (4 years)

Eagle Strategies LLC

2012 - 2019 (7 years)

New York Life Insurance Company

2012 - 2019 (7 years)

Nylife Securities LLC

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Disclosures

Please visit the SEC profile of Cleo Coates to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Merrill Lynch, Pierce, Fenner & Smith Inc

Katelyn Gallagher
Scottsdale, AZ
Nader Khela
Sanford, FL
Alexander Knapp
Towson, MD
Jack Cambon
Redding, CA
Jordan Smith
Hunt Valley, MD
Jennifer Vaughn
Providence, RI
Alejandro Gualy
Mesquite, TX
Callum Krach
Baltimore, MD

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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