Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MARSHALL COLEMAN
MARSHALL THOMAS COLEMAN
CRD#: 6240537
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3 SKIDAWAY VILLAGE SQ
SAVANNAH, GA 31411
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - Present (9 years)
License(s)

State Registrations

B
Alabama 12/14/2015
B
Massachusetts 1/15/2016
B
Arizona 3/8/2018
B
Michigan 5/17/2022
B
California 3/8/2018
B
Minnesota 8/2/2024
B
Colorado 3/8/2018
B
Mississippi 2/27/2023
B
Connecticut 2/20/2019
B
New Jersey 6/27/2022
B
Delaware 4/22/2024
B
New York 3/8/2018
B
District of Columbia 7/6/2021
B
North Carolina 12/15/2015
B
Florida 12/14/2015
B
Ohio 1/3/2022
B
Georgia 10/15/2015
B
Pennsylvania 3/8/2018
IA
Georgia 10/22/2015
B
Rhode Island 2/23/2023
B
Hawaii 7/11/2023
B
South Carolina 12/14/2015
B
Illinois 5/17/2018
B
Tennessee 3/8/2018
B
Indiana 7/9/2019
B
Texas 3/8/2018
B
Louisiana 3/8/2018
IA
Texas 3/9/2018
B
Maine 2/23/2023
B
Virginia 3/8/2018
B
Maryland 3/8/2018
B
Wyoming 3/11/2024

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)
3 SKIDAWAY VILLAGE SQ, SAVANNAH, GA 31411
Registered with this firm since 10/22/2015
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3 SKIDAWAY VILLAGE SQ, SAVANNAH, GA 31411
Registered with this firm since 4/29/2015
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.