Christopher M. Coughlin
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.
Christopher Maher Coughlin was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1981. Christopher had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2012 - January 3, 2017
SOURCE CAPITAL GROUP, INC.
January 3, 2003 - February 8, 2012
OPPENHEIMER & CO. INC.
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
May 18, 1984 - January 3, 2003
CIBC WORLD MARKETS CORP.
November 1, 1981 - August 2, 1984
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 1/25/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/30/1981
Interest Rate Options ExaminationSeries 8
Date: 1/30/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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