John Patrick Sprague
Investment Adviser Representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
John Patrick Sprague is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Pennington, NJ, where they have been registered since 2026. They have worked in the securities industry since 2025 and were previously registered with Cetera Investment Advisers LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in New Jersey and Texas.
Office
Advisors at this office: 101
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New Jersey, Texas
- Broker:
53 states and territories
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- KinderCareJan 2023 – Jun 2025Newtown, PA
- ESFJun 2023 – Aug 2024Princeton, NJ
- UnemployedNov 2022 – Jan 2023Ewing, NJ
- VerizonJul 2022 – Nov 2022Pennington, NJ
- UnemployedAug 2017 – Oct 2020New York City, NY
- Rambling PinesJun 2017 – Aug 2017Hopewell, NJ
- UnemployedJul 2014 – Jun 2017Hopewell, NJ
- Cetera Wealth Services, LLCOct 2025 – Jan 2026El Segundo, CA
- UnemployedJun 2025 – Oct 2025Newtown, PA
- Cetera Investment Advisers LLCOct 2025 – Jan 2026Schaumburg, IL
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 2026 – no end date reportedPennington, NJ
- The Chapin SchoolJun 2023 – Aug 2024New York, NY
- The College of New JerseyFeb 2021 – Dec 2024Ewing, NJ
- SAE InstituteApr 2018 – Apr 2019New York, NY
- West Virginia UniversityAug 2016 – Dec 2017Morgantown, WV
- William Paterson UniversitySep 2015 – May 2021Wayne, NJ
- Mid Atlantic Resource GroupSep 2025 – Jan 2026Pennington, NJ
- Bank of America, N.A.Apr 2026 – no end date reportedPennington, NJ
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Merrill Lynch, Pierce, Fenner & Smith Incorporated
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Small Business 401(k) plans including Group 401(k) and Individual 401(k), SEP IRA, SIMPLE IRA, investment fiduciary services, recordkeeping, trading, custodial and financial wellness services, and call center educational support for employees.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 25,472
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-14235
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 24, 2026
View full firm profileOther advisors at Merrill Lynch, Pierce, Fenner & Smith Incorporated
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Patrick Sprague has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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