Colin P. Collea
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.
Colin Price Collea, who also goes by Colin Collea, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 1986. Colin had worked at 8 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2002 - June 6, 2003
CAPWEST SECURITIES, INC.
March 5, 2002 - June 27, 2002
BLAKE STREET SECURITIES LLC
February 1, 2000 - March 23, 2000
PIPER SANDLER & CO.
May 18, 1995 - March 17, 2000
U.S. BANCORP INVESTMENTS, INC.
June 11, 1992 - May 3, 1995
CITICORP INVESTMENT SERVICES
October 28, 1991 - June 16, 1992
METROPOLITAN LIFE INSURANCE COMPANY
October 28, 1991 - June 16, 1992
MSI FINANCIAL SERVICES, INC.
June 30, 1986 - September 26, 1991
PRUCO SECURITIES, LLC.
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
CAPWEST SECURITIES, INC.
CRD#: 30002 / SEC#: , 8-44462
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE FINANCIAL GROUP, INC. | OWNER | |
| HALL, DALE KEITH | CEO, PRESIDENT, TREASURER, CFO, CCO, COO, DIRECTOR, | 706704 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 9 |
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.
