Charles Ray Stephan Jr
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Charles R Stephan, Chuck Stephan Jr
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
229 S Main Street, Fort Atkinson, WI 53538Mailing Address
229 S Main Street, Fort Atkinson, WI 53538Phone Number
(608) 221-4545Established
Wisconsin since 11/29/1982Firm Type
CorporationFiscal Year End
MarchFirm Size
Small# of Employees
31SEC notice filing (17 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
186AUM (Assets Under Management)
$136,837,741Disclosures
Regulatory Event
4Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/18/2026 | Cover Page | Report |
| 10/01/2025 | Cover Page | Report |
| 12/18/2024 | Cover Page | Report |
| 10/18/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(8/11/2004)
(4/7/2021)
(1/2/2002)
(5/18/2023)
(1/17/2018)
(11/27/2019)
(6/3/2021)
(8/15/2006)
(4/21/1998)
(4/17/1991)
(12/7/1999)
(8/28/1997)
(11/10/2004)
(4/23/2001)
(4/22/2024)
(3/19/2019)
(1/3/2019)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1986About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Charles Ray Stephan JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Ray Stephan JR's CRS (Customer Relationship Summary).
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