Francis J. Coady
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.
Francis Joshua Coady was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1994. Francis had worked at 9 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2003 - March 15, 2005
WESTERN INTERNATIONAL SECURITIES, INC.
November 22, 2002 - May 22, 2003
THE SHEMANO GROUP, INC.
September 30, 2002 - November 27, 2002
WESTPARK CAPITAL, INC.
February 11, 2002 - October 10, 2002
FIRST ALLIED SECURITIES, INC.
July 1, 1999 - February 11, 2002
INTERFIRST CAPITAL CORPORATION
November 24, 1998 - July 7, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
May 14, 1998 - September 25, 1998
NATIONAL SECURITIES CORPORATION
December 11, 1995 - April 2, 1998
THE BOSTON GROUP
December 20, 1994 - December 22, 1995
LAIDLAW GLOBAL SECURITIES, 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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
