Gauro Coen
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.
Gauro Coen was a registered financial professional .
Gauro is a previously registered financial professional and started their career in finance in 1994. Gauro had worked at 7 firms and has passed the Series 65, 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
August 12, 2008 - October 17, 2008
PHD CAPITAL
August 9, 2005 - May 19, 2006
J.P. TURNER & COMPANY, L.L.C.
March 23, 2000 - August 9, 2005
CANTELLA & CO., INC.
January 22, 1999 - March 27, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 9, 1998 - January 28, 1999
LEERINK PARTNERS LLC
November 17, 1995 - June 15, 1998
GRUNTAL & CO., L.L.C.
June 27, 1994 - October 24, 1995
SANDS BROTHERS & CO., LTD.
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
PHD CAPITAL
CRD#: 38785 / SEC#: , 8-48403
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
