Brett M. Coughlin
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.
Brett Michael Coughlin, who also goes by Brett Coughin, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1995. Brett had worked at 7 firms and has passed the Series 63, Series 55 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
April 9, 2007 - February 28, 2014
CNBS
April 8, 2005 - August 25, 2005
UBS SECURITIES LLC
January 12, 2004 - May 25, 2005
UBS CAPITAL MARKETS L.P.
October 6, 2003 - January 12, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
April 29, 2001 - June 4, 2002
J.P. MORGAN SECURITIES INC.
July 1, 1999 - May 1, 2001
JPMSI
December 12, 1995 - July 22, 1999
UBS FINANCIAL SERVICES 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
Series 55
Date: 1/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
CNBS
CRD#: 24153 / SEC#: 801-37558, 8-40985
Contact information
Disclosures
| Regulatory Event | 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.
