Colby Bates

NATIXIS ADVISORS

Boston, MA 02199

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CRD#: 6202156

Professional summary

Colby Bates, who also goes by Colby James Bates, is a registered financial advisor currently at NATIXIS ADVISORS, LLC located in Boston, Massachusetts and NATIXIS DISTRIBUTION, LLC located in Boston, Massachusetts.

Colby is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Colby has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Colby James Bates

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) - RIA

Click below to view Colby Bates's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 4, 2022 - Present

NATIXIS ADVISORS, LLC

Office #1: 888 Boylston Street Suite 800, Boston, MA 02199

RIA

CRD#: 106800

Boston, MA

Current

April 25, 2022 - Present

NATIXIS DISTRIBUTION, LLC

Office #1: 888 Boylston Street Suite 800, Boston, MA 02199-8197

CRD#: 34754

Boston, MA

Past

September 16, 2019 - April 12, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Boston, MA

Past

September 16, 2019 - April 12, 2022

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

October 27, 2014 - August 13, 2019

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

October 16, 2014 - August 13, 2019

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

March 5, 2014 - October 6, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MERRIMACK, NH

Past

August 12, 2013 - October 6, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

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".

NATIXIS ADVISORS, LLC

CRD#: 106800 / SEC#: 801-48408

RIA

Registered Investment Advisory firm - (3/1/1995 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(4/25/2022)

IAR

Massachusetts
(5/4/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/25/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/22/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/16/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NATIXIS ADVISORS, LLC

CRD#: 106800 / SEC#: 801-48408

RIA

Registered Investment Advisory firm - (3/1/1995 Approved)

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Contact information

Main Address

888 Boylston Street Suite 800, Boston, MA 02199

Mailing Address

Phone number

(617) 449-2802

Established

Firm type

Fiscal year end

# of Employees

426

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NATIXIS ADVISORS, LLC FORM ADV - PART 2A (10/30/2025)

Regulatory assets under management

Total Number of Accounts	85,258
AUM (Assets Under Management)	$ 85,230,726,459

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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Advisor Monitoring

Firm Stability Insights

Colby Bates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colby Bates's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIXIS DISTRIBUTION, LLC

MORGAN STANLEY

MORGAN STANLEY

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

NATIXIS ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2014

Series 63

Date: 8/22/2013

SIE

Date: 10/1/2018

Series 7

Date: 8/12/2013

Series 24

Date: 9/16/2022

FINRA

Current Firm

NATIXIS ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NATIXIS ADVISORS, LLC

TRUST BUT VERIFY

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