PS
Pamela F. Sweeney
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CRD#: 1188427
PS
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.
Pamela Forbes Sweeney was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1983. Pamela had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
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®
NoneExperience
Past
July 20, 1994 - December 31, 2013
COORDINATED CAPITAL SECURITIES, INC.
RIA
CRD#: 14762
MADISON, WI
Past
July 20, 1994 - January 5, 2015
COORDINATED CAPITAL SECURITIES, INC.
BD
CRD#: 14762
MADISON, WI
Past
September 12, 1983 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
September 12, 1983 - July 22, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 12, 1983 - July 22, 1994
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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".
CC
COORDINATED CAPITAL SECURITIES, INC.
CCS OF WI | COORDINATED CAPITAL SECURITIES,INC. | COORDINATED CAPITAL SECURITIES, INC. | COORDINATED CAPITAL SECURITIES OF WISCONSIN, INC. | COORDINATED CAPITAL SECURITIES OF WI INC. | COORDINATED CAPITAL ADVISORY, A DIVISION OF COORDINATED CAPITAL SECURITIES, INC. | COLTRANE SECURITIES, A DIVISION OF COORDINATED CAPITAL SECURITI
CRD#: 14762 / SEC#: 801-111070, 8-31173
RIA
Registered Investment Advisory firm - SEC (8/31/2017 Approved)California
Registered Investment Advisory firm - SEC (10/8/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/12/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)Florida
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)Georgia
Registered Investment Advisory firm - SEC (9/18/2017 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/16/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)Kentucky
Registered Investment Advisory firm - SEC (9/11/2017 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)Missouri
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)New Mexico
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)North Carolina
Registered Investment Advisory firm - SEC (9/6/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/7/2017 Terminated)Texas
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)Virginia
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)Washington
Registered Investment Advisory firm - SEC (10/23/2007 Terminated)West Virginia
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CC
COORDINATED CAPITAL SECURITIES, INC.
CCS OF WI | COORDINATED CAPITAL SECURITIES,INC. | COORDINATED CAPITAL SECURITIES, INC. | COORDINATED CAPITAL SECURITIES OF WISCONSIN, INC. | COORDINATED CAPITAL SECURITIES OF WI INC. | COORDINATED CAPITAL ADVISORY, A DIVISION OF COORDINATED CAPITAL SECURITIES, INC. | COLTRANE SECURITIES, A DIVISION OF COORDINATED CAPITAL SECURITI
CRD#: 14762 / SEC#: 801-111070, 8-31173
RIA
Registered Investment Advisory firm - SEC (8/31/2017 Approved)California
Registered Investment Advisory firm - SEC (10/8/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/12/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)Florida
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)Georgia
Registered Investment Advisory firm - SEC (9/18/2017 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/16/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)Kentucky
Registered Investment Advisory firm - SEC (9/11/2017 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)Missouri
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)New Mexico
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)North Carolina
Registered Investment Advisory firm - SEC (9/6/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/7/2017 Terminated)Texas
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)Virginia
Registered Investment Advisory firm - SEC (9/5/2017 Terminated)Washington
Registered Investment Advisory firm - SEC (10/23/2007 Terminated)West Virginia
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/8/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
229 S Main Street, Fort Atkinson, WI 53538
Mailing Address
229 S Main Street, Fort Atkinson, WI 53538
Phone number
(608) 221-4545
Established
Wisconsin since 11/29/1982
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
38
SEC notice filing (17 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 248 |
| AUM (Assets Under Management) | $ 159,932,138 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2025 | ||
| 12/18/2024 | ||
| 10/18/2023 | ||
| 01/05/2023 |
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.
