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Mark A. Coates

Some features on this profile are disabled
CRD#: 2488299
MC

Professional summary

Mark Allen Coates was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Mark had worked at 10 firms, which includes GLOBAL CAPITAL SECURITIES CORPORATION, WOLFF INVESTMENT GROUP INCORPORATED, NEW TIMES SECURITIES SERVICES INC., LLOYD WADE SECURITIES INC., SUNPOINT SECURITIES INC., FIRST MONTAUK SECURITIES CORP., L.B. SAKS INC., GKN SECURITIES CORP., BISHOP ALLEN INC., CONTINENTAL BROKER-DEALER CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 22, 2000 - March 15, 2001

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

March 3, 2000 - June 1, 2000

WOLFF INVESTMENT GROUP INCORPORATED

BD
CRD#: 21930
NEW YORK, NY
Past

April 16, 1998 - February 16, 2000

NEW TIMES SECURITIES SERVICES, INC.

BD
CRD#: 34154
MELVILLE, NY
Past

February 4, 1998 - February 11, 1998

NEW TIMES SECURITIES SERVICES, INC.

BD
CRD#: 34154
MELVILLE, NY
Past

December 3, 1997 - January 16, 1998

LLOYD WADE SECURITIES INC.

BD
CRD#: 39653
DALLAS, TX
Past

September 29, 1997 - November 13, 1997

SUNPOINT SECURITIES, INC.

BD
CRD#: 25442
LONGVIEW, TX
Past

May 19, 1997 - August 26, 1997

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

February 18, 1997 - June 6, 1997

L.B. SAKS, INC.

BD
CRD#: 34070
Past

June 20, 1996 - September 4, 1996

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

May 16, 1996 - June 6, 1996

BISHOP, ALLEN, INC.

BD
CRD#: 2060
NEW YORK, NY
Past

June 2, 1994 - April 12, 1996

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/16/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/25/1996
General Securities Principal Examination

Current Firm

GC
GLOBAL CAPITAL SECURITIES CORPORATION
CHERRY CREEK INVESTMENTS, LTD. | GLOBAL CAPITAL SECURITIES CORPORATION | EBI SECURITIES CORPORATION | COHIG & ASSOCIATES, INC.

CRD#: 16184 / SEC#: , 8-33481

BD
Terminated by SEC on 04/25/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 01/22/1985
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GLOBAL CAPITAL PARTNERSSHAREHOLDER

Disclosures

Regulatory Event7
Arbitration31

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.

Company Information

GLOBAL CAPITAL SECURITIES CORPORATION

CRD#: 16184

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