Stephen L. Coale
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.
Stephen Loring Coale, who also goes by Steve Loring Coale, Steve Coale, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 9 firms and has passed the Series 63, Series 72, Series 79TO, Series 99TO, SIE, Series 7, Series 6 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
October 14, 2014 - March 11, 2022
SANTANDER US CAPITAL MARKETS LLC
May 10, 1994 - October 14, 2014
AMHERST SECURITIES GROUP, L.P.
January 13, 1992 - September 22, 1994
SENTRA SECURITIES CORPORATION
November 26, 1990 - April 27, 1994
WESTCAP SECURITIES, L.P.
November 26, 1990 - April 27, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
February 26, 1990 - December 12, 1990
SENTRA SECURITIES CORPORATION
January 31, 1989 - May 18, 1995
SPELMAN & CO., INC.
October 9, 1987 - February 17, 1989
PFG SECURITIES, INC.
March 17, 1986 - October 23, 1987
INVESTACORP, INC.
October 24, 1984 - March 31, 1986
WADDELL & REED
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 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SANTANDER US CAPITAL MARKETS LLC
CRD#: 150696 / SEC#: , 8-68282
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS LLC | SOLE MEMBER | |
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
| PACHECO, MERCEDES MARIA | CHIEF LEGAL OFFICER | 2909083 |
| PRIETO-MORENO, GERARDO | PRINCIPAL OPERATIONS OFFICER | 7295411 |
| SANTANGELO, MICHAEL JOHN | CFO | 4705334 |
| VITALE, PAUL N | FINOP, PRINCIPAL FINANCIAL OFFICER | 5909566 |
| WALSH, JOSEPH NORTON III | CEO | 2804671 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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