Harry E. Merriken

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CRD#: 2297101

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Harry Ernest Merriken III, who also goes by Harry Merriken, was a registered financial professional .

Harry is a previously registered financial professional and started their career in finance in 1993. Harry had worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Harry Merriken

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 18, 2008 - November 18, 2016

GATEWAY INVESTMENT ADVISERS, LLC

RIA

CRD#: 146681

CINCINNATI, OH

Past

March 16, 1999 - May 15, 2008

GATEWAY INVESTMENT ADVISERS LP

RIA

CRD#: 106700

HUNT VALLEY, MD

Past

September 1, 1997 - March 4, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

February 16, 1993 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GATEWAY INVESTMENT ADVISERS, LLC

CRD#: 146681 / SEC#: 801-68972

RIA

Registered Investment Advisory firm - (4/18/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/3/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/25/1993

General Securities Representative Examination

Current Firm

GATEWAY INVESTMENT ADVISERS, LLC

CRD#: 146681 / SEC#: 801-68972

RIA

Registered Investment Advisory firm - (4/18/2008 Approved)

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Contact information

Main Address

312 Walnut Street Suite 3500, Cincinnati, OH 45202-9834

Mailing Address

Phone number

(513) 719-1100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GATEWAY INVESTMENT ADVISERS, LLC FORM ADV PARTS 2A AND 2B DATED 2025 (9/26/2025)

Regulatory assets under management

Total Number of Accounts	276
AUM (Assets Under Management)	$ 10,909,371,942

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Harry E. Merriken

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GATEWAY INVESTMENT ADVISERS, LLC

GATEWAY INVESTMENT ADVISERS LP

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

GATEWAY INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/1998

Series 7

Date: 1/25/1993

Current Firm

GATEWAY INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GATEWAY INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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