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Susan L. Coates

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CRD#: 1563043
SC

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.

Susan Lohmann Coates was a registered financial advisor .

Susan is a previously registered financial advisor and started their career in finance in 1989. Susan had worked at 2 firms and has passed the Series 7, Series 6, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 9, 2002 - December 3, 2007

CONTEMPORARY FINANCIAL SOLUTIONS, INC.

BD
CRD#: 121699
WEST PALM BEACH, FL
Past

January 17, 1992 - February 18, 2009

MUTUAL SERVICE CORPORATION

RIA
CRD#: 4806
WEST PALM BEACH, FL
Past

September 19, 1989 - February 18, 2009

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 6/14/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/18/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/25/2000
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/23/1993
General Securities Principal Examination

Current Firm

CF
CONTEMPORARY FINANCIAL SOLUTIONS, INC.
CONTEMPORARY FINANCIAL SOLUTIONS, INC.

CRD#: 121699 / SEC#: , 8-65439

BD
Terminated by SEC on 02/18/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/29/2002
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MUTUAL SERVICE CORPORATIONSOLE SHAREHOLDER4806
BECKER, DAVID CLIFFORD SR.FINOP, VICE PRESIDENT4635972
BROWN, STEPHANIE LEIGHDIRECTOR1973369
CLOUD, VINCENT THOMASEXEC VP/DIRECTOR1107858
COATES, SUSAN LOHMANNSR. VICE PRESIDENT1563043
DIXON, JOHN LINCOLNCHAIRMAN68827
DWYER, WILLIAM EDWARD IIIDIRECTOR1274680
KALBAUGH, JOHN ANDREWCHIEF EXECUTIVE OFFICER1821773
KAMINSKI, DENNIS STANLEYEXEC VP/ASST. SECRETARY/DIRECTOR1013459
LYLE, TIMOTHY JAMESSR. VP/CHIEF COMPLIANCE OFFICER1111138
STEARNS, ESTHER MARIONDIRECTOR1088948

Disclosures

Arbitration1

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

CONTEMPORARY FINANCIAL SOLUTIONS, INC.

CRD#: 121699

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