Baruch Coleman
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.
Baruch Coleman was a registered financial professional .
Baruch is a previously registered financial professional and started their career in finance in 1987. Baruch had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2007 - November 27, 2007
JOHN THOMAS FINANCIAL
February 16, 2007 - September 21, 2007
BROKERSXPRESS LLC
October 1, 2004 - March 14, 2007
SYNERGY INVESTMENT GROUP, LLC
August 16, 1995 - October 1, 2004
CAPITAL SECURITIES OF AMERICA, INC.
May 24, 1991 - September 13, 1995
BROOKSTREET SECURITIES CORPORATION
August 25, 1989 - May 3, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 6, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
May 8, 1987 - February 11, 1988
E. F. HUTTON & COMPANY INC
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
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
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.
