Rufus P. Coes
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.
Rufus Putnam Coes III, who also goes by Rufus P Coes, was a registered financial professional .
Rufus is a previously registered financial professional and started their career in finance in 2001. Rufus had worked at 3 firms and has passed the Series 63, SIE, 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 20, 2008 - October 10, 2016
PLUS SECURITIES LLC
June 30, 2006 - March 22, 2007
MORGAN STANLEY DISTRIBUTION, INC.
April 30, 2002 - November 26, 2003
MORGAN STANLEY DISTRIBUTION, INC.
July 18, 2001 - July 11, 2006
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
PLUS SECURITIES LLC
CRD#: 138299 / SEC#: , 8-67157
Contact information
Documents
Red Flags
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