Lara A. Coates
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.
Lara Andrea Coates was a registered financial professional .
Lara is a previously registered financial professional and started their career in finance in 1995. Lara had worked at 12 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
January 13, 2009 - December 31, 2012
AMAZON WEALTH MANAGEMENT, LLC
October 17, 2005 - March 27, 2006
J.W. COLE FINANCIAL, INC.
March 14, 2000 - June 17, 2005
CANTELLA & CO., INC.
September 30, 1999 - March 28, 2000
WAMU INVESTMENTS, INC.
May 27, 1999 - September 3, 1999
CITICORP INVESTMENT SERVICES
September 2, 1998 - June 4, 1999
FIRST UNION BROKERAGE SERVICES, INC.
October 27, 1997 - September 3, 1998
PRUDENTIAL EQUITY GROUP, LLC
April 10, 1997 - June 10, 1997
BARNETT INVESTMENTS, INC.
November 20, 1996 - April 23, 1997
IDS LIFE INSURANCE COMPANY
November 20, 1996 - April 23, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
August 7, 1995 - October 10, 1996
JOSEPH CHARLES & ASSOC., INC.
June 23, 1995 - August 8, 1995
JOSEPHTHAL & CO., 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
AMAZON WEALTH MANAGEMENT, LLC
CRD#: 147531 / SEC#:
Contact information
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.
