Gary A. Coughlen
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.
Gary Alan Coughlen was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1984. Gary had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2014 - April 4, 2016
CHARLES SCHWAB & CO., INC.
November 14, 2014 - April 4, 2016
CHARLES SCHWAB & CO., INC.
December 10, 2012 - June 18, 2014
CHARLES SCHWAB & CO., INC.
December 7, 2012 - June 18, 2014
CHARLES SCHWAB & CO., INC.
November 10, 2010 - March 11, 2011
GREAT PACIFIC SECURITIES
October 10, 2006 - October 27, 2008
GREAT PACIFIC SECURITIES
December 3, 2003 - October 13, 2004
GREAT PACIFIC SECURITIES
November 5, 1999 - December 31, 2001
FIRST SECURITIES USA, INC.
July 29, 1994 - November 5, 1999
FIRST ASSOCIATED SECURITIES GROUP, INC.
May 7, 1993 - December 31, 1993
CYPRESS CAPITAL CORPORATION
May 8, 1989 - June 21, 1991
JRL CAPITAL CORPORATION
August 27, 1987 - March 1, 1989
CONCORD ASSETS SECURITIES, INC.
July 20, 1987 - August 27, 1987
SOUTHMARK FINANCIAL SERVICES, INC.
October 6, 1986 - June 23, 1987
UBS FINANCIAL SERVICES INC.
July 17, 1986 - October 10, 1986
FIRST COLUMBIA CORPORATION
October 11, 1985 - July 14, 1986
SECURITY PROPERTIES CAPITAL CORPORATION
March 22, 1984 - September 13, 1985
FIRST COLUMBIA CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
