Nicklaus J Catone
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.
Nicklaus J. Catone is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Pittsford, NY, where they have been registered since 2026. They have worked in the securities industry since 2025 and were previously registered with Manning & Napier Advisors, 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 York.
Office
Advisors at this office: 76
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New York
- Broker:
1 state or territory
New York
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.
- Seton Hill University - Full-time educationAug 2017 – Dec 2017Greensburg, PA
- St. John Fisher University - Full-time educationJan 2018 – May 2019Rochester, NY
- Xavier University - Full-time educationAug 2019 – Dec 2020Cincinnati, OH
- St. John Fisher University - Full-time educationJan 2021 – May 2022Rochester, NY
- Unemployed - McQuaid Jesuit High SchoolJul 2014 – Jul 2017Rochester, NY
- AflacMay 2020 – May 2021Henrietta, NY
- Lawley InsuranceJun 2022 – Nov 2022Rochester, NY
- KeyBankDec 2022 – Jun 2024Rochester, NY
- Manning & Napier Advisors, LLCJun 2024 – Mar 2026Fairport, NY
- Manning & Napier Investor Services, Inc.Jun 2024 – Mar 2026Fairport, NY
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 2026 – no end date reportedPittsford, NY
- McQuaid Jesuit High SchoolMar 2025 – no end date reportedRochester, NY
- Catone Insurance AgencyMar 2026 – May 2026Rochester, NY
- Bank of America, N.A.Jul 2026 – no end date reportedPittsford, NY
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. Nicklaus J Catone 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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