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CS

Charles R. Stephan

COORDINATED CAPITAL SECURITIES
Strongsville, OH 44136
Some features on this profile are disabled
CRD#: 1540581
CS

Professional summary

Charles Ray Stephan JR, who also goes by Charles R Stephan, Chuck Stephan Jr, is a registered financial advisor currently at COORDINATED CAPITAL SECURITIES, INC. located in Strongsville, Ohio.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Charles has worked at 3 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Charles R Stephan | Chuck Stephan Jr

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Ray Stephan JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Charles Ray Stephan JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 7, 1999 - Present

COORDINATED CAPITAL SECURITIES, INC.

Office #1: 10850 Pearl Road #d1, Strongsville, OH 44136
RIA
BD
CRD#: 14762
Strongsville, OH
Current

April 17, 1991 - Present

COORDINATED CAPITAL SECURITIES, INC.

Office #1: 10850 Pearl Road #d1, Strongsville, OH 44136
RIA
BD
CRD#: 14762
Strongsville, OH
Past

September 5, 1995 - October 12, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 22, 1989 - November 20, 1989

COORDINATED CAPITAL SECURITIES, INC.

BD
CRD#: 14762
FORT ATKINSON, WI
Past

February 26, 1988 - August 2, 1988

CENTRAL STATES SECURITIES, INC.

BD
CRD#: 1427
Past

August 26, 1986 - January 12, 1988

PRUCO SECURITIES, LLC.

BD
CRD#: 5685

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.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(8/11/2004)
RR
California
(4/7/2021)
RR
Florida
(1/2/2002)
IAR
Florida
(5/18/2023)
RR
Illinois
(1/17/2018)
RR
Kentucky
(11/27/2019)
RR
Massachusetts
(6/3/2021)
RR
Michigan
(8/15/2006)
RR
North Carolina
(4/21/1998)
RR
Ohio
(4/17/1991)
IAR
Ohio
(12/7/1999)
RR
Pennsylvania
(8/28/1997)
RR
Tennessee
(11/10/2004)
RR
Texas
(4/23/2001)
RR
Virginia
(4/22/2024)
RR
West Virginia
(3/19/2019)
RR
Wisconsin
(1/3/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/11/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/27/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/25/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/10/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

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 (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CCS-WRAPFEE-2025-JUNE ANNUAL (6/26/2025)
CCS-ADV2A-2025-JUNE ANNUAL (6/26/2025)

Direct owners and executive officers

NamePositionCRD#
COORDINATED CAPITAL HOLDINGS, INC.HOLDING COMPANY
BUECHNER, MARI JOCHIEF EXECUTIVE OFFICER, PRESIDENT1867710
WILLIAMS, SARA DANIELLECHIEF COMPLIANCE OFFICER5460513
WILLIAMS, TRACY NAIOMAVICE PRESIDENT4533496

Regulatory assets under management

Total Number of Accounts248
AUM (Assets Under Management)$ 159,932,138

Disclosures

Regulatory Event4
Arbitration1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/01/2025
Cover Page
Report
12/18/2024
Cover Page
Report
10/18/2023
Cover Page
Report

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.

Company Information

COORDINATED CAPITAL SECURITIES, INC.

CRD#: 14762Strongsville, OH 44136

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