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COLIN GATES
CRD#: 6689550
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 TOWN CENTER RD
BOCA RATON, FL 33486
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - Present (7 years)
License(s)

State Registrations

B
Arizona 10/11/2019

B
New Jersey 10/2/2018

B
California 7/11/2017

B
New Mexico 10/11/2019

B
Colorado 10/11/2019

B
New York 10/11/2019

B
Connecticut 10/2/2018

B
North Carolina 10/2/2018

B
Florida 4/7/2017

B
Ohio 10/11/2019

IA
Florida 4/11/2017

B
Oregon 10/11/2019

B
Georgia 10/11/2019

B
Pennsylvania 10/11/2019

B
Hawaii 10/11/2019

B
Puerto Rico 10/11/2019

B
Idaho 2/2/2023

B
South Carolina 10/11/2019

B
Illinois 10/11/2019

B
Tennessee 10/11/2019

B
Indiana 10/11/2019

B
Texas 10/11/2019

B
Louisiana 10/11/2019

IA
Texas 10/11/2019

B
Maine 10/11/2019

B
Utah 10/11/2019

B
Maryland 7/12/2017

B
Vermont 3/31/2023

B
Massachusetts 10/11/2019

B
Virginia 10/11/2019

B
Michigan 1/4/2023

B
Washington 10/11/2019

B
Minnesota 10/11/2019

B
Wisconsin 5/24/2022

B
Nebraska 10/11/2019

B
Wyoming 4/24/2023

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

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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 TOWN CENTER RD, BOCA RATON, FL 33486
Registered with this firm since 4/11/2017

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 TOWN CENTER RD, BOCA RATON, FL 33486
Registered with this firm since 1/1/2017

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B
Broker
IA
Investment Adviser
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.