Richard L. Coale
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.
Richard Lyles Coale, who also goes by Rick Coale, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10, Series 8, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2011 - July 22, 2021
CHAPIN, DAVIS
September 30, 2011 - July 22, 2021
CHAPIN, DAVIS
March 11, 2009 - July 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
March 11, 2009 - July 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 5, 2007 - March 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 5, 2006 - March 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 5, 2002 - July 10, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 21, 2000 - March 12, 2002
UBS FINANCIAL SERVICES INC.
August 24, 1999 - August 1, 2000
LEGG MASON WOOD WALKER, INCORPORATED
October 24, 1997 - September 10, 1999
MORGAN STANLEY DW INC.
April 25, 1994 - October 31, 1997
CHAPIN, DAVIS
August 17, 1993 - April 26, 1994
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
January 6, 1993 - August 18, 1993
ACCESS SECURITIES, LLC
March 21, 1991 - May 29, 1992
CHAPIN, DAVIS
December 22, 1988 - March 27, 1991
JONES FALLS SECURITIES INC.
September 2, 1988 - December 5, 1988
HERITAGE FINANCIAL INVESTMENTS CORPORATION
April 29, 1987 - February 25, 1988
JONES FALLS SECURITIES INC.
Primary Firm SEC Registration
CHAPIN, DAVIS
CRD#: 28116 / SEC#: 801-70987, 8-43485
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
Series 8
Date: 4/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHAPIN, DAVIS
CRD#: 28116 / SEC#: 801-70987, 8-43485
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALBERT, TALBOT JONES IV | CHAIRMAN OF THE BOARD, CEO | 1620715 |
| HAYES, ELISABETH ALBERT | DIRECTOR/SHAREHOLDER | 1824604 |
| BRUBAKER, THOMAS ALLEN | DIRECTOR | 860338 |
| CARTER, ANA ROUMENOVA | FINANCIAL PRINCIPAL | 4424794 |
| GALANTINO, MICHAEL ANTHONY | PRESIDENT/DIRECTOR | 1277218 |
| KAEHLER, ROBERT JAMES | CHIEF COMPLIANCE OFFICER | 2858149 |
| MURRAY, KEITH LAWRENCE | DIRECTOR | 2726392 |
Regulatory assets under management
| Total Number of Accounts | 741 |
| AUM (Assets Under Management) | $ 539,098,994 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 04/26/2024 |
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.
