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Tate G Coley
TATE GARRISON COLEY, TATE COLEY
CRD#: 7499032
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 370 17TH ST
DENVER, CO 80202
DENVER, CO 80202
0
Disclosures
2
Years of Experience
View By:
State Registrations
B
Arizona 2/20/2025
B
New Mexico 1/3/2025
B
California 2/20/2025
B
North Carolina 1/9/2024
B
Colorado 11/7/2023
B
Texas 1/2/2024
IA
Colorado 11/7/2023
IA
Texas 1/12/2024
B
Idaho 2/20/2025
B
Wyoming 2/20/2025
B
Mississippi 1/15/2025
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 11/7/2023
B
Registered with this firm since 11/7/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/06/2022 - 10/06/2023 | DURHAM, NC | |
B | 05/03/2022 - 10/05/2023 | GREENWOOD VILLAGE, CO |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.