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Brigham Daniel Coombs

CRD# 2645064·Registered 1995 - 1999
Previously Registered: Being a previously registered professional could mean that Brigham 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.

Professional Summary

Brigham Daniel Coombs was a registered financial advisor. Brigham was a previously registered financial professional and started their career in finance 1995 - 1999. Brigham had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

MORGENTHAU & ASSOCIATES, INC.·CRD# 6586
BD
March 4, 1999 - July 28, 1999
TRADE.COM ONLINE SECURITIES, INC.·CRD# 36189
BD
New York, NY
January 8, 1998 - March 31, 1998
J.W. BARCLAY & CO., INC.·CRD# 23350
BD
Woodbridge, NJ
May 28, 1997 - December 21, 1997
NORTHEAST SECURITIES, LLC·CRD# 25996
BD
Mitchelfield, NY
January 18, 1996 - April 22, 1997
NICHOLS, SAFINA, LERNER & CO. INC.·CRD# 35476
BD
New York, NY
September 25, 1995 - October 24, 1995

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Current Firm

M&
MORGENTHAU & ASSOCIATES, INC.

MORGENTHAU & ASSOCIATES, INC.

CRD#: 6586 / SEC#: 8-17747
BD
Terminated by SEC on 11/29/2008

Contact Information

Established

Florida since 06/06/1997

Firm Type

Corporation

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
MORGENTHAU, ANTHONY REGINALDDIRECTOR/ CEO / TREAS./CHIEF COMPLIANCE OFFICER340142

Disclosures

Regulatory Event

9

Arbitration

2

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1995About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1995About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 1996About the Series 24 exam

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CRS (Client Relationship Summary)

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

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