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GC

Gerald J. Coughlin

Some features on this profile are disabled
CRD#: 1128073
GC

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.

Gerald Jeremiah Coughlin III, AIF®, who also goes by Chip Coughlin, Gerald J Coughlin III, was a registered financial professional .

Gerald is a previously registered financial professional and started their career in finance in 1983. Gerald had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 62, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chip Coughlin | Gerald J Coughlin Iii

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®
AIF®

Accredited Investment Fiduciary

Experience

Past

April 2, 2025 - April 7, 2026

MARINER WEALTH

RIA
CRD#: 140195
Syracuse, NY
Past

June 14, 2024 - April 9, 2025

OSAIC WEALTH, INC.

RIA
CRD#: 23131
SYRACUSE, NY
Past

June 14, 2024 - April 9, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
SYRACUSE, NY
Past

March 4, 2019 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
892 E BRIGHTON AVE, NY
Past

March 4, 2019 - June 14, 2024

SECURITIES AMERICA, INC.

BD
CRD#: 10205
SYRACUSE, NY
Past

February 14, 2017 - March 5, 2019

STRATOS WEALTH PARTNERS, LTD

RIA
CRD#: 153184
SYRACUSE, NY
Past

February 14, 2017 - March 22, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
SYRACUSE, NY
Past

October 3, 2013 - February 14, 2017

FIRST ALLIED ADVISORY SERVICES, INC.

RIA
CRD#: 137888
SYRACUSE, NY
Past

January 2, 2008 - February 14, 2017

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SYRACUSE, NY
Past

January 3, 2006 - January 8, 2008

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
SYRACUSE, NY
Past

February 1, 1999 - December 31, 2005

LEIGH BALDWIN & CO., LLC

BD
CRD#: 38751
CAZENOVIA, NY
Past

May 9, 1983 - February 10, 1999

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE

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".
MW
MARINER WEALTH
ADVICEPERIOD | MARINER, LLC | MARINER WEALTH ADVISORS, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER ULTRA | MARINER INSTITUTIONAL CONSULTING, LLC | MARINER INSTITUTIONAL | MARINER | KUMMER FINANCIAL STRATEGIES

CRD#: 140195 / SEC#: 801-66632

RIA
Registered Investment Advisory firm - (4/24/2006 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.

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2001
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/22/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 12/23/2009
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/6/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/14/2008
Investment Company Products/Variable Contracts Principal Examination

Current Firm

MW
MARINER WEALTH
ADVICEPERIOD | MARINER, LLC | MARINER WEALTH ADVISORS, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER ULTRA | MARINER INSTITUTIONAL CONSULTING, LLC | MARINER INSTITUTIONAL | MARINER | KUMMER FINANCIAL STRATEGIES

CRD#: 140195 / SEC#: 801-66632

RIA
Registered Investment Advisory firm - (4/24/2006 Approved)
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Contact information

Main Address
5700 W. 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
Phone number
(913) 904-5700
Established
Firm type
Fiscal year end
# of Employees
1,503

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MARINER ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts155,767
AUM (Assets Under Management)$ 98,603,233,201

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2025
Cover Page
Report
11/19/2024
Cover Page
Report
12/21/2023
Cover Page
Report

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.

Company Information

MARINER WEALTH

CRD#: 140195

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