Walter James Coughlin
Professional Summary
Walter James Coughlin is a registered financial advisor currently at COLORADO FINANCIAL SERVICE CORPORATION located in Denver, Colorado. Walter is registered as a RR (Registered Representative) and started their career in finance in 1986. Walter has worked at 3 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 50, Series 7, Series 54, Series 27, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
COLORADO FINANCIAL SERVICE CORPORATION | TURNING POINT RETIREMENT ASSOCIATES | GIA FINANCIAL GROUP, L.L.C.
Contact Information
Main Address
188 Inverness Drive West Ste 100, Centennial, CO 80112Mailing Address
188 Inverness Drive West Suite 100, Centennial, CO 80112Phone Number
(303) 962-7267Established
Colorado since 06/13/2000Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
38FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | — |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| THON, JAMESON OBRIEN | MUNICIPAL SECURITIES PRINCIPAL | 7015002 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | OPTIONS PRINCIPAL | 6952982 |
| WOODWORTH, ADAM JAMES | CHIEF COMPLIANCE OFFICER | 6952982 |
Regulatory Assets Under Management
Total Number of Accounts
188AUM (Assets Under Management)
$84,056,666Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(7/25/2024)
(7/2/2024)
(7/12/2024)
(8/6/2026)
(10/16/2025)
(7/17/2024)
(7/12/2024)
(1/20/2026)
(7/23/2024)
(7/17/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jul 2024About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Jan 2016About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Jan 2020About the Series 54 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Walter James Coughlin's CRS (Customer Relationship Summary).
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