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Detailed Report
GREGORY COLEMAN
GREGORY W COLEMAN
CRD#: 4571355
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 COWBOYS WAY
FRISCO, TX 75034
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2008 (5 years)2 FIRMS2008 - 2016 (8 years)2 FIRMS2016 - Present (8 years)
Disclosure(s)
View By:
6/13/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 4/26/2017
B
Montana 6/4/2024
B
Arizona 2/10/2025
B
Nevada 11/1/2016
B
Arkansas 10/14/2016
B
New Jersey 1/12/2024
B
California 10/14/2016
B
New York 10/14/2016
B
Colorado 10/14/2016
B
North Carolina 6/27/2023
B
Florida 10/14/2016
B
Oklahoma 10/14/2016
B
Hawaii 4/28/2017
B
Pennsylvania 9/18/2018
B
Iowa 10/14/2016
B
South Carolina 5/16/2018
B
Maryland 4/29/2021
B
Tennessee 4/22/2020
B
Michigan 10/14/2016
B
Texas 10/14/2016
B
Minnesota 10/14/2016
IA
Texas 10/14/2016
B
Mississippi 9/28/2017
B
Virginia 11/17/2022
B
Missouri 7/28/2022

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 COWBOYS WAY, FRISCO, TX 75034
Registered with this firm since 10/14/2016
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 COWBOYS WAY, FRISCO, TX 75034
Registered with this firm since 10/14/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/25/2008 - 10/25/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) PLANO, TX
B
 06/25/2008 - 10/25/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) PLANO, TX
IA
 10/16/2002 - 07/07/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
 09/19/2002 - 07/07/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.