Heather J. Cote
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.
Heather Jean Cote, who also goes by Heather Chamberlin, Heather Jean Naccarato, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 1989. Heather had worked at 10 firms and has passed the Series 65, Series 63, Series 3, 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
May 11, 2012 - June 30, 2014
MCADAMS WRIGHT RAGEN, INC.
May 11, 2012 - June 30, 2014
MCADAMS WRIGHT RAGEN, INC.
January 3, 2011 - May 15, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - May 15, 2012
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
December 14, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 5, 2007 - December 17, 2007
WAMU INVESTMENTS, INC.
February 12, 2002 - December 17, 2007
WAMU INVESTMENTS, INC.
May 14, 1999 - February 6, 2002
KEYBANC CAPITAL MARKETS INC.
January 23, 1995 - May 14, 1999
KEY INVESTMENTS INC.
May 6, 1994 - February 1, 1995
GLOBAL CAPITAL SECURITIES CORPORATION
February 6, 1990 - May 11, 1994
PUBLIC SECURITIES, INC.
March 21, 1989 - February 12, 1990
DILLON SECURITIES, INC.
January 24, 1989 - March 14, 1989
MARSHALL DAVIS, 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
MCADAMS WRIGHT RAGEN, INC.
CRD#: 45899 / SEC#: 801-55918, 8-51232
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| DIRECTOR, DAVID JEROME | EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | 1060159 |
| GUAGLIARDO, ALICIA MARIA | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2091180 |
| MCADAMS, SCOTT WAYNE | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 1559165 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| RAGEN, BROOKS GEER | CHAIRMAN OF THE BOARD/DIRECTOR | 370117 |
| RAGEN, CAMERON BROOKS | SENIOR VICE PRESIDENT | 2140003 |
| ROGOWSKI, ROBERT JOHN | MANAGING DIRECTOR & DEPART CHAIR, INVESTMENT BANKING | 1818321 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| ZARCONE, DOMINICK PAUL | DIRECTOR | 2154034 |
Disclosures
| Regulatory Event | 5 |
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.
