Scott E. 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.
Scott Edward Coleman was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 13 firms and has passed the Series 63, Series 65, Series 7, Series 6, Series 4, Series 27, 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
December 17, 2015 - March 15, 2016
KRD FINANCIAL
February 9, 2015 - December 16, 2015
KRD FINANCIAL SERVICES, LLC
April 1, 2014 - July 1, 2015
CONCORDE ASSET MANAGEMENT, LLC
September 9, 2010 - November 18, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 9, 2010 - November 18, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 9, 2004 - October 29, 2010
KRD BROKERAGE, LLC
June 19, 2003 - December 1, 2004
REGAL SECURITIES, INC.
November 8, 2001 - December 31, 2002
WATERSTONE FINANCIAL GROUP, INC.
March 3, 1999 - March 28, 2014
KRD FINANCIAL, LLC
January 14, 1999 - April 8, 1999
WATERSTONE FINANCIAL GROUP, INC.
September 30, 1998 - January 12, 1999
AVANTAX INVESTMENT SERVICES, INC.
December 21, 1994 - October 1, 1996
WWK INVESTMENTS, INC.
April 7, 1994 - June 15, 1994
INVESTMENT CENTERS OF AMERICA, INC.
June 8, 1993 - September 1, 1993
QA3 FINANCIAL CORP.
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
KRD FINANCIAL
CRD#: 162455 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 145 |
| AUM (Assets Under Management) | $ 46,794,291 |
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.
